SEC Form 4/A · accession 0001209191-16-090143
Apollo Commercial Real Estate Finance, Inc. · ARI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Stuart Rothstein
Officer — President & CEO · Director
Period of report
Jan 1, 2016
Accepted (ET)
Jan 6, 2016 · 7:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467760
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jan 1, 2016 | F | 28,883 | $17.23 | D | 213,507 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amended Form 4 is filed solely to correct the Form 4 filed on 01/05/2016 to correct the transaction date for this line item from 12/31/2015 to 01/01/2016.
- F2Consists of shares of common stock withheld by the issuer in order to satisfy the minimum tax withholding obligations of the reporting person arising in connection with the delivery of shares of common stock underlying vested restricted stock units ("RSUs") granted under the Apollo Commercial Real Estate Finance, Inc. 2009 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the issuer's common stock for each vested RSU. The RSUs vest in installments in accordance with the terms of the applicable RSU Award Agreement by and between the reporting person and the issuer, provided the reporting person remains in service through the applicable vesting dates.
- F3Reported amount includes 146,667 RSUs.