SEC Form 4 · accession 0001649709-16-000092
CIFC LLC · CIFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Serota
Director
Period of report
Aug 2, 2016
Accepted (ET)
Aug 25, 2016 · 7:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001649709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Aug 2, 2016 | A | 21,097 | $0.00 | A | 41,895 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of Restricted Share Units which, subject to certain exceptions, will vest in full on the earlier of (a) the date on which the Issuer holds its 2017 Annual Meeting if the Participant has remained in continuous Service from the Grant Date through the Annual Meeting, (b) the date, within ninety (90) days after a Sale Event, on which no Director as of the date of the Award Agreement remains a member of the Board, and (c) July 1, 2017 (provided that the Participant has remained in continuous Service from the Grant Date through July 1, 2017). Capitalized terms used herein shall have the meanings assigned to them in the Award Agreement.