SEC Form 4/A · accession 0001179110-15-001622
Lument Finance Trust, Inc. · LFT
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
David C. Carroll
Officer — CEO and President · Director
Period of report
Mar 27, 2013
Accepted (ET)
Feb 3, 2015 · 6:02 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 StockF1,F2 | Mar 27, 2013 | J | 5,767 | $0.00 | A | 37,455 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted common stock granted on March 27, 2013 by Oak Circle Capital Partners LLC pursuant to the Issuer's Manager Equity Plan. One-third of these shares vest on each of the first, second and third anniversaries of the grant date
- F2Omitted from the reporting person's original Form 4 was the notation that an aggregate of one-third of this grant is held in trusts for each of the reporting person's two daughters.