SEC Form 5 · accession 0001209191-16-098218
TPG Mortgage Investment Trust, Inc. · MITT
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).
Reporting owner
Jonathan Lieberman
Officer — President and CIO · Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 12, 2016 · 6:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001514281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jul 1, 2015 | M | 9,166 | $0.00 | A | 94,205 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F2,F4 | — | Jul 1, 2015 | M | 9,166 | D | — | — | Common Stock | 9,166 | 16,927 | D |
Explanation of responses
- F1On July 1, 2015, 9,166 restricted stock units vested in 9,166 shares of common stock of AG Mortgage Investment Trust, Inc. (the "Company").
- F2Each restricted stock unit represents the right to receive one restricted share of common stock of the Company upon vesting of the unit. This transaction represents the settlement of vested restricted stock units in shares of common stock on their scheduled vesting date.
- F315,000 shares of common stock are owned jointly with the reporting person's spouse.
- F4The restricted stock units vest in three annual installments beginning July 1, 2015, assuming Mr. Lieberman's continued employment with Angelo, Gordon & Co., L.P. on such vesting dates, as set forth in the applicable award agreement.
- F5The reporting person forfeited 1,407 restricted stock units pursuant to an amended award agreement. All other provisions of the award agreement remained the same.