CUSIP No: 46131B100
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO § 240.13d-1(b), (c) AND (d) AND
AMENDMENTS THERETO FILED
PURSUANT TO § 240.13d-2.
(Amendment No. )*
Invesco Mortgage Capital Inc.
(Name of Issuer)
Common Stock, $0.01 par value per share
(Title of Class of Securities)
46131B100
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of
this statement)
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
x
Rule 13d-1(b)
¨
Rule 13d-1(c)
¨
Rule 13d-1(d)
*The remainder of this cover page shall
be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder
of this cover page shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934
(“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
CUSIP No: 46131B100
(1)
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Names of Reporting Persons
Susquehanna Securities, LLC
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(2)
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a)
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¨
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(b)
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¨
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(3)
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SEC Use Only
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(4)
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Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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(5)
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Sole Voting Power
13,336,081 (1)
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(6)
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Shared Voting Power
13,353,482 (1)
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(7)
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Sole Dispositive Power
13,336,081 (1)
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(8)
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Shared Dispositive Power
13,353,482 (1)
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(9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
13,353,482 (1)
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(10)
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Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
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(11)
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Percent of Class Represented by Amount in Row (9)
6.6%
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(12)
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Type of Reporting Person (See Instructions)
BD, OO
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(1) G1 Execution Services, LLC and Susquehanna Securities, LLC
are affiliated independent broker-dealers which, together, may be deemed a group. For purposes of this report, we have indicated
that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the
reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting
persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.
CUSIP No: 46131B100
(1)
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Names of Reporting Persons
G1 Execution Services, LLC
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(2)
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a)
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¨
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(b)
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¨
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(3)
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SEC Use Only
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(4)
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Citizenship or Place of Organization
Illinois
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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(5)
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Sole Voting Power
17,401 (1)
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(6)
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Shared Voting Power
13,353,482 (1)
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(7)
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Sole Dispositive Power
17,401 (1)
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(8)
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Shared Dispositive Power
13,353,482 (1)
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(9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
13,353,482 (1)
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(10)
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Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
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(11)
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Percent of Class Represented by Amount in Row (9)
6.6%
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(12)
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Type of Reporting Person (See Instructions)
BD, OO
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(1) G1 Execution Services, LLC and Susquehanna Securities, LLC
are affiliated independent broker-dealers which, together, may be deemed a group. For purposes of this report, we have indicated
that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the
reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting
persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.
CUSIP No: 46131B100
Item 1.
(a) Name of Issuer
Invesco Mortgage Capital Inc. (the “Company”)
(b) Address of Issuer’s Principal Executive Offices
1555 Peachtree Street N.E.
Suite 1800
Atlanta, Georgia 30309
Item 2(a). Name of Person Filing
This statement is filed by the entities listed below,
who are collectively referred to herein as “Reporting Persons,” with respect to the shares of Common Stock of the Company,
$0.01 par value per share (the “Shares”).
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(i)
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Susquehanna Securities, LLC
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(ii)
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G1 Execution Services, LLC
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Item 2(b). Address of Principal Business Office or, if none,
Residence
The address of the principal business office of Susquehanna
Securities, LLC is:
401 E. City Avenue
Suite 220
Bala Cynwyd, PA 19004
The address of the principal business office
of G1 Execution Services, LLC is:
175 W. Jackson Blvd.
Suite 1700
Chicago, IL 60604
Item 2(c). Citizenship
Citizenship is set forth in Row 4 of the cover page
for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.
Item 2(d) Title of Class of Securities
Common Stock, $0.01 par value per share
Item 2(e) CUSIP Number
46131B100
CUSIP No: 46131B100
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is
a:
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(a) x
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
(b) ¨
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) ¨
Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
(d) ¨
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) ¨ An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
(f) ¨ An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
(g) ¨ A
parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
(h) ¨ A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) ¨ A
church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company
Act of 1940 (15 U.S.C. 80a-3);
(j) ¨ A
non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
(k) ¨
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J),
please specify the type of institution: ________________
Item 4. Ownership
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.
The information required by Items 4(a) - (c) is set
forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting
Person.
The number of Shares reported as beneficially owned
by Susquehanna Securities includes options to buy 7,325,000 Shares.
The Company’s Prospectus Supplement (to Prospectus
dated February 27, 2019, Registration No. 333-229917) filed on February 3, 2021, indicates there were 203,222,108 Shares outstanding
as of December 31, 2020.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as
of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities,
check the following: ¨
Item 6. Ownership of More than Five Percent on Behalf of Another
Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
Not applicable.
Item 8. Identification and Classification of Members of the
Group
Not applicable.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below each of the
undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are
held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with
or as a participant in any transaction having that purpose or effect.
CUSIP No: 46131B100
SIGNATURES
After reasonable inquiry
and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth
in this statement is true, complete, and correct.
Dated: February 10, 2021
SUSQUEHANNA SECURITIES, LLC
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By:
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/s/ Brian Sopinsky
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Name:
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Brian Sopinsky
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Title:
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Secretary
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G1 EXECUTION SERVICES, LLC
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By:
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/s/ Brian Sopinsky
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Name:
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Brian Sopinsky
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Title:
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Secretary
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CUSIP No: 46131B100
EXHIBIT INDEX
EXHIBIT
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DESCRIPTION
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I
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Joint Filing Agreement
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CUSIP No: 46131B100
EXHIBIT I
JOINT FILING AGREEMENT
This will confirm the agreement by and among the undersigned
that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial
ownership by the undersigned of the Common Stock of Invesco Mortgage Capital Inc., $0.01 par value per share, is being filed, and
all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k)
under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which
shall be deemed an original, but all of which together shall constitute one and the same instrument.
Dated as of February 10, 2020
SUSQUEHANNA SECURITIES, LLC
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By:
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/s/ Brian Sopinsky
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Name:
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Brian Sopinsky
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Title:
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Secretary
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G1 EXECUTION SERVICES, LLC
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By:
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/s/ Brian Sopinsky
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Name:
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Brian Sopinsky
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Title:
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Secretary
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