SEC Form 4 · accession 0001546184-15-000005
CIFC Corp. · CIFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Oliver Wriedt
Officer — Co-President
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 4:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001313918
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 19, 2015 | M | 25,000 | $4.83 | A | 252,971 | D | |
| Common StockF1 | holding | — | — | — | 47,674 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $4.83 | Feb 19, 2015 | M | 25,000 | D | Mar 1, 2013 | Mar 1, 2022 | Common Stock | 25,000 | 605,000 | D |
Explanation of responses
- F1Held in Deutsche Bank Group International Pension Plan
- F2The Stock Option is excercisable over a period of four years from the date of the grant, with 1/4 vesting on the first anniversary and 1/16 vesting on each of the next twelve quarterly anniversaries, with the first quarterly installment vesting on the date that is one year from the grant date and is subject to adjustment, acceleration and forfeit as more fully described in the Stock Option Award certificate dated March 1, 2012 between the Issuer and the Reporting Person.