RAIT FINANCIAL TRUST Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-11: Reporting owner Silberstein Andrew Mark; Form 4; Security Common Share Appreciation Right; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-10-11: Reporting owner ARS VI Investor I, LP; Form 4; Security Common Share Appreciation Right; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-07-10: Reporting owner Kuenstner Nancy Jo; Form 3; Security No securities are beneficially owned; Transaction Holding.
- 2017-07-10: Reporting owner Klein Justin P.; Form 3; Security No securities are beneficially owned; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-10-11 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Appreciation Right Derivative · Indirect · By ARS VI Investor I, LP | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,485,045 0 owned after | no price filed | 2017-10-13 | |
| 2017-10-11 | ARS VI Investor I, LP Other (See remarks below) | 4 | Common Share Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,485,045 0 owned after | no price filed | 2017-10-13 | |
| 2017-07-10 holding as of filing | Kuenstner Nancy Jo Other (Trustee) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2017-07-10 | |
| 2017-07-10 holding as of filing | Klein Justin P. Other (Trustee) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2017-07-10 | |
| 2017-03-31 holding as of filing | Kopsky Paul William Jr Officer (CFO & Treasurer) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2017-03-31 | |
| 2017-02-24 holding as of filing | Riis Glenn Officer (Senior Managing Director) | 3 | Share Appreciation Right Derivative · Direct | Holding | $3.78 exercise price | 2017-02-24 | ||
| 2017-02-24 holding as of filing | Riis Glenn Officer (Senior Managing Director) | 3 | Share Appreciation Right Derivative · Direct | Holding | $2.38 exercise price | 2017-02-24 | ||
| 2017-02-24 holding as of filing | Riis Glenn Officer (Senior Managing Director) | 3 | Share Appreciation Right Derivative · Direct | Holding | $7.23 exercise price | 2017-02-24 | ||
| 2017-02-24 holding as of filing | Riis Glenn Officer (Senior Managing Director) | 3 | Share Appreciation Right Derivative · Direct | Holding | $8.29 exercise price | 2017-02-24 | ||
| 2017-02-16 holding as of filing | Wren Thomas D Other (Trustee) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2017-02-16 | |
| 2017-02-14 | Dilmore Alfred J Officer (Chief Accounting Officer) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.78 exercise price | 2017-02-16 | |
| 2017-02-14 | Reyle John J. Officer (General Counsel) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $3.78 exercise price | 2017-02-16 |