SEC Form 4/A · accession 0001209191-17-021797
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
Aug 31, 2016
Accepted (ET)
Mar 20, 2017 · 5:44 pm EDT
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 | 4,743 | $0.00 | A | 208,250 | 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 and the Form 4/A filed by the reporting person on January 3, 2017 erroneously reported the receipt of 4,744 shares. The reporting person is filing this amendment to the Form 4 to correct the reported amount of shares received by the reporting person in the transaction and the aggregate amount of securities beneficially owned following the reported transaction.