SEC Form 4 · accession 0000899243-18-023557
TPG RE Finance Trust, Inc. · TRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter A. Smith
Officer — Vice President
Period of report
Aug 28, 2018
Accepted (ET)
Aug 30, 2018 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001630472
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | — | Aug 28, 2018 | P | 4,810 | A | — | — | Common Stock | 4,810 | 4,810 | I |
| Class A Common StockF2,F3 | — | holding | — | — | — | — | — | Common Stock | 7,716 | 7,716 | I |
Explanation of responses
- F1TPG RE Finance Trust Equity, L.P. ("TPG RE Finance Trust Equity") directly holds 926,951 shares of Class A common stock ("Class A Common Stock") of TPG RE Finance Trust, Inc. (the "Issuer"), including 4,809.95 shares of Class A Common Stock indirectly beneficially owned by Peter A. Smith (through his limited partnership interest in TPG RE Finance Trust Equity).
- F2Pursuant to the Articles of Amendment and Restatement of the Issuer, each share of Class A Common Stock is convertible at any time or from time to time, at the option of the holder, for one share of common stock of the Issuer.
- F3Represents shares of Class A Common Stock previously acquired by Mr. Smith from TPG RE Finance Trust Management, L.P. (the "Manager"), the Issuer's external manager, pursuant to grants made by the Manager to Mr. Smith in accordance with the terms of a compensatory plan adopted by the Manager. Upon vesting, the shares of Class A Common Stock will be delivered to Mr. Smith.
Remarks
(4) Matthew Coleman is signing on behalf of Mr. Smith pursuant to the power of attorney dated July 5, 2017, which was previously filed with the Securities and Exchange Commission.