SEC Form 4 · accession 0001179110-18-007744
Lument Finance Trust, Inc. · LFT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Peter Flynn
Officer — CEO
Period of report
May 29, 2018
Accepted (ET)
May 31, 2018 · 6:13 pm EDT
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 | May 29, 2018 | P | 7,500 | $3.48 | A | 30,000 | D | |
| common stock | May 30, 2018 | P | 5,000 | $3.435 | A | 35,000 | D | |
| common stockF2 | May 31, 2018 | P | 7,500 | $3.2497 | A | 42,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were purchased in multiple trades at prices ranging from $3.4346 to $3.50. The price reported above reflects the weighted purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2The shares were purchased in multiple trades at prices ranging from $3.245 to $3.2499. The price reported above reflects the weighted purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.