SEC Form 4/A · accession 0001209191-17-000305
Apollo Commercial Real Estate Finance, Inc. · ARI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
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
Aug 31, 2016
Accepted (ET)
Jan 3, 2017 · 4:51 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 | Aug 31, 2016 | A | 4,744 | $0.00 | A | 208,251 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Received in exchange for common stock of Apollo Residential Mortgage, Inc. ("AMTG") at an exchange ratio of 0.417571 of a share of Apollo Commercial Real Estate Finance, Inc. ("ARI") common stock for each share of AMTG common stock in connection with the merger of AMTG into ARI on August 31, 2016. The closing price of AMTG common stock on the last day prior to the effective time of the merger was $13.64 per share. The reporting person also received $6.86 in cash for each share of AMTG common stock in the merger.
- F2The Form 4 filed by the reporting person on September 2, 2016 previously reported the receipt of 4,744 shares, but erroneously reported the aggregate amount of securities beneficially owned following the reported transaction as 218,251 shares. The reporting person is filing this amendment to the Form 4 solely to include the corrected aggregate amount of securities beneficially owned following the reported transaction which was 208,251 shares.