SEC Form 4 · accession 0000899243-18-001345
Lument Finance Trust, Inc. · LFT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 18, 2018
Accepted (ET)
Jan 18, 2018 · 5:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001547546
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F2,F3 | Jan 18, 2018 | S | 710,495 | $4.77 | D | 3,330,550 | I | See Footnote |
| Common Stock, par value $0.01 per shareF2,F4 | holding | — | — | — | 10,230 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to Purchase Common StockF5 | $13.11 | Jan 18, 2018 | J | 3,753,492 | D | Jul 25, 2013 | Sep 29, 2019 | Common Stock | 3,753,492 | 0 | I |
Explanation of responses
- F1See Exhibit 99.1; Note 1.
- F2See Exhibit 99.1; Note 2.
- F3See Exhibit 99.1; Note 3.
- F4See Exhibit 99.1; Note 4.
- F5See Exhibit 99.1; Note 5.
Remarks
Exhibit List: Exhibit 99.1 - Explanation of Responses