FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Agarwal Rahul N

2. Date of Event Requiring Statement (MM/DD/YYYY)
12/21/2012 

3. Issuer Name and Ticker or Trading Symbol

CIFC Corp. [DFR]

(Last)        (First)        (Middle)

CIFC CORP., 250 PARK AVENUE; 4TH FLOOR

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Chief Financial Officer /

(Street)

NEW YORK, NY 10177       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option   12/21/2013   (1) 12/21/2022   Common Stock   100000.0   $7.78   D    

Explanation of Responses:
( 1)  The Stock Option is excercisable over a period of four years from the date of the grant, with 1/4 vesting on December 21, 2013 and 1/16 vesting on each of the next twelve quarterly anniversaries and is subject to adjustment, acceleration and forfeit as more fully described in the Stock Option Award Certificate dated December 21, 2012 between the Issuer and the Reporting Person.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Agarwal Rahul N
CIFC CORP.
250 PARK AVENUE; 4TH FLOOR
NEW YORK, NY 10177


Chief Financial Officer

Signatures
/s/ Rahul N. Agarwal 12/21/2012
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Cifc Corp. (MM) (NASDAQ:DFR)
Historical Stock Chart
Von Mai 2024 bis Jun 2024 Click Here for more Cifc Corp. (MM) Charts.
Cifc Corp. (MM) (NASDAQ:DFR)
Historical Stock Chart
Von Jun 2023 bis Jun 2024 Click Here for more Cifc Corp. (MM) Charts.