RAIT FINANCIAL TRUST Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-18: Reporting owner Silberstein Andrew Mark; Form 4; Security Common Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-12-18: Reporting owner ARS VI Investor I, LLC; Form 4; Security Common Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-11-15: Reporting owner Silberstein Andrew Mark; Form 4; Security Common Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-11-15: Reporting owner ARS VI Investor I, LLC; Form 4; Security Common Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-18 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Appreciation Right Derivative · Indirect · By ARS VI Investor I, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,683,917 4,378,184 owned after | $6.00 exercise price | 2012-12-18 | |
| 2012-12-18 | ARS VI Investor I, LLC Other (See remarks below) | 4 | Common Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,683,917 4,378,184 owned after | $6.00 exercise price | 2012-12-18 | |
| 2012-11-15 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Appreciation Right Derivative · Indirect · By ARS VI Investor I, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,347,133 2,694,267 owned after | $6.00 exercise price | 2012-11-16 | |
| 2012-11-15 | ARS VI Investor I, LLC Other (See remarks below) | 4 | Common Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,347,133 2,694,267 owned after | $6.00 exercise price | 2012-11-16 | |
| 2012-10-17 | ARS VI Investor I, LLC Other (See remarks below) | 4 | Common Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,347,133 1,347,133 owned after | $6.00 exercise price | 2012-10-19 | |
| 2012-10-17 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Appreciation Right Derivative · Indirect · By ARS VI Investor I, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,347,133 1,347,133 owned after | $6.00 exercise price | 2012-10-19 | |
| 2012-01-24 | Sebra James J Officer (SVP & CAO) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $5.68 exercise price | 2012-01-26 | |
| 2012-01-24 | FRAPPIER KEN Officer (EVP Portfolio & Risk Mgt) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $5.68 exercise price | 2012-01-26 | |
| 2012-01-24 | Licht Raphael Officer (COO & Secretary) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $5.68 exercise price | 2012-01-26 | |
| 2012-01-24 | Salmon Jack Officer (CFO & Treasurer) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $5.68 exercise price | 2012-01-26 | |
| 2012-01-24 | SCHAEFFER SCOTT | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $5.68 exercise price | 2012-01-26 |