RAIT FINANCIAL TRUST Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-23: Reporting owner Licht Raphael; Form 4; Security Share Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-18: Reporting owner Sebra James J; Form 4/A; Security Share Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-18: Reporting owner Sebra James J; Form 4; Security Share Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-03-20: Reporting owner FRAPPIER KEN; Form 4; Security Share Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-23 | Licht Raphael Officer (COO & Secretary) | 4 | Share Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 150,000 owned after | $5.68 exercise price | 2013-12-24 | |
| 2013-12-18 | Sebra James J Officer (CFO & Treasurer) | 4/A | Share Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 150,000 owned after | $5.68 exercise price | 2013-12-24 | |
| 2013-12-18 | Sebra James J Officer (CFO & Treasurer) | 4 | Share Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +75,000 150,000 owned after | $5.68 exercise price | 2013-12-20 | |
| 2013-03-20 | FRAPPIER KEN Officer (EVP Portfolio & Risk Mgt) | 4 | Share Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 150,000 owned after | $5.68 exercise price | 2013-03-22 | |
| 2013-03-08 holding as of filing | BATINOVICH ANDREW Other (Trustee) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2013-03-08 | |
| 2013-01-29 | 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) | +95,000 95,000 owned after | $6.89 exercise price | 2013-01-31 | |
| 2013-01-29 | Sebra James J Officer (CFO & Treasurer) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $6.89 exercise price | 2013-01-31 | |
| 2013-01-29 | Licht Raphael Officer (COO & Secretary) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $6.89 exercise price | 2013-01-31 | |
| 2013-01-29 | SCHAEFFER SCOTT | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +320,000 320,000 owned after | $6.89 exercise price | 2013-01-31 |