SEC Form 4 · accession 0000899243-18-016410
NEXPOINT DIVERSIFIED REAL ESTATE TRUST · NXDT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Marie Dondero
10% Owner
Period of report
Jun 7, 2018
Accepted (ET)
Jun 13, 2018 · 6:12 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 | Jun 7, 2018 | M | 120 | $21.30 | A | 482 | D | |
| Common StockF2,F3 | holding | — | — | — | 15,121 | D | ||
| Common StockF4 | holding | — | — | — | 2,602,797 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $21.30 | Jun 7, 2018 | M | 120 | D | May 10, 2018 | May 29, 2018 | Common Stock | 120 | 0 | D |
Explanation of responses
- F1These shares are held directly by Ms. Dondero in her personal account.
- F2These shares are held directly by Ms. Dondero in a joint account with her spouse.
- F3Includes shares acquired under the issuer's dividend reinvestment plan.
- F4These shares are held by The Dugaboy Investment Trust (the "Trust"). Ms. Dondero is the trustee of the Trust. Ms. Dondero disclaims beneficial ownership of such shares.