RAIT FINANCIAL TRUST Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-11: Reporting owner Davidson Scott L.N.; Form 4; Security Share Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-03-27: 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).
- 2014-03-27: Reporting owner ARS VI Investor I, LP; Form 4; Security Common Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-02-04: Reporting owner Davidson Scott L.N.; Form 3; Security Share Appreciation Right; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-11 | Davidson Scott L.N. Officer (President) | 4 | Share Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | $5.68 exercise price | 2014-12-15 | |
| 2014-03-27 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Appreciation Right Derivative · Indirect · By ARS VI Investor I, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,410,223 6,886,351 owned after | $5.87 exercise price | 2014-03-27 | |
| 2014-03-27 | ARS VI Investor I, LP Other (See remarks below) | 4 | Common Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,410,223 6,886,351 owned after | $5.87 exercise price | 2014-03-27 | |
| 2014-02-04 holding as of filing | Davidson Scott L.N. Officer (President) | 3 | Share Appreciation Right Derivative · Direct | Holding | $8.29 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Davidson Scott L.N. Officer (President) | 3 | Share Appreciation Right Derivative · Direct | Holding | $6.89 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Davidson Scott L.N. Officer (President) | 3 | Share Appreciation Right Derivative · Direct | Holding | $5.68 exercise price | 2014-02-04 | ||
| 2014-01-31 | 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 75,000 owned after | $5.68 exercise price | 2014-01-31 | |
| 2014-01-30 | SCHAEFFER SCOTT | 4 | Share Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400,000 200,000 owned after | $5.68 exercise price | 2014-01-31 | |
| 2014-01-29 | Licht Raphael Officer (COO & Secretary) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $8.29 exercise price | 2014-01-31 | |
| 2014-01-29 | 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 75,000 owned after | $5.68 exercise price | 2014-01-31 | |
| 2014-01-29 | 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) | +30,000 30,000 owned after | $8.29 exercise price | 2014-01-31 | |
| 2014-01-29 | Sebra James J Officer (CFO & Treasurer) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $8.29 exercise price | 2014-01-31 | |
| 2014-01-29 | SCHAEFFER SCOTT | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $8.29 exercise price | 2014-01-31 |