SEC Form 4 · accession 0001179110-18-008134
Lument Finance Trust, Inc. · LFT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Christopher Hunt
Director
Period of report
Jun 1, 2018
Accepted (ET)
Jun 5, 2018 · 8:15 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 | Jun 1, 2018 | P | 7,500 | $3.31 | A | 37,500 | D | |
| common stock | Jun 4, 2018 | P | 7,500 | $3.37 | A | 45,000 | D | |
| common stock | Jun 5, 2018 | P | 7,500 | $3.45 | A | 52,500 | D | |
| common stockF2 | holding | — | — | — | 2,249,901 | I | See Footnote 2 |
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 $3.295 to $3.3493. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2The shares are owned by Hunt Companies Equity Holdings, LLC ("HCEH"), an indirect subsidiary of Hunt Companies, Inc. ("Hunt"). Hunt is owned and controlled by members of the Hunt family and trusts for the benefit of the Hunt family. The reporting person may be deemed to share voting and investment power with respect to the shares of common stock owned directly by HCEH by virtue of being a member of the board of directors of Hunt and the Chief Executive Officer, President and Chief Investment Officer of Hunt. The reporting person disclaims beneficial ownership of the securities owned by HCEH and reported herein, except to the extent the reporting person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the reporting person is the beneficial owner of any securities owned by HCEH and reported herein.