SEC Form 4 · accession 0001394808-15-000002
CIFC Corp. · CIFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Serota
Director
Period of report
Dec 31, 2014
Accepted (ET)
May 11, 2015 · 5:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001313918
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Dec 31, 2014 | A | 4,804 | A | — | — | Common Stock | 4,804 | 4,804 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock of the Issuer.
- F2100% of the Restricted Stock Units vest on the date on which the Issuer holds its 2015 annual meeting of stockholders, and are subject to adjustment, acceleration and forfeit as more fully described in the Restricted Stock Unit Award Agreement, effective as of December 31, 2014, between the Issuer and the Reporting Person.