RAIT FINANCIAL TRUST Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. 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 Purchase Warrant; 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 Purchase Warrant; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-03-27: Reporting owner Silberstein Andrew Mark; Form 4; Security Common Share Purchase Warrant; 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 Purchase Warrant; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-10-11 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Purchase Warrant Derivative · Indirect · By ARS VI Investor I, LP | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,035,875 0 owned after | no price filed | 2017-10-13 | |
| 2017-10-11 | ARS VI Investor I, LP Other (See remarks below) | 4 | Common Share Purchase Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,035,875 0 owned after | no price filed | 2017-10-13 | |
| 2014-03-27 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Purchase Warrant Derivative · Indirect · By ARS VI Investor I, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,553,609 10,153,168 owned after | $5.87 exercise price | 2014-03-27 | |
| 2014-03-27 | ARS VI Investor I, LP Other (See remarks below) | 4 | Common Share Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,553,609 10,153,168 owned after | $5.87 exercise price | 2014-03-27 | |
| 2012-12-18 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Purchase Warrant Derivative · Indirect · By ARS VI Investor I, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,482,750 6,455,150 owned after | $6.00 exercise price | 2012-12-18 | |
| 2012-12-18 | ARS VI Investor I, LLC Other (See remarks below) | 4 | Common Share Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,482,750 6,455,150 owned after | $6.00 exercise price | 2012-12-18 | |
| 2012-11-15 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Purchase Warrant Derivative · Indirect · By ARS VI Investor I, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986,200 3,972,400 owned after | $6.00 exercise price | 2012-11-16 | |
| 2012-11-15 | ARS VI Investor I, LLC Other (See remarks below) | 4 | Common Share Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986,200 3,972,400 owned after | $6.00 exercise price | 2012-11-16 | |
| 2012-10-17 | ARS VI Investor I, LLC Other (See remarks below) | 4 | Common Share Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986,200 1,986,200 owned after | $6.00 exercise price | 2012-10-19 | |
| 2012-10-17 | Silberstein Andrew Mark Other (Trustee) | 4 | Common Share Purchase Warrant Derivative · Indirect · By ARS VI Investor I, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986,200 1,986,200 owned after | $6.00 exercise price | 2012-10-19 |