SEC Form 4 · accession 0000899243-17-015486
NEXPOINT DIVERSIFIED REAL ESTATE TRUST · NXDT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Mitts
Officer — See Remarks
Period of report
May 17, 2017
Accepted (ET)
Jun 6, 2017 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001356115
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 17, 2017 | X | 501 | $20.93 | A | 1,858 | I | By employee benefit plan |
| Common StockF4,F3 | May 17, 2017 | X | 225 | $20.93 | A | 1,537 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $20.93 | May 17, 2017 | X | 501 | D | May 8, 2017 | May 24, 2017 | Common Stock | 501 | 0 | I |
| Subscription Rights (right to buy) | $20.93 | May 17, 2017 | X | 225 | D | May 8, 2017 | May 24, 2017 | Common Stock | 225 | 0 | D |
Explanation of responses
- F1These shares are held pursuant to an employee benefit plan.
- F2Includes 253.35 shares previously acquired under the issuer's 401(k) plan.
- F3Includes shares acquired under the issuer's dividend reinvestment plan.
- F4These shares are held directly by Mr. Mitts.
Remarks
Executive Vice President, Principal Financial Officer and Principal Accounting Officer