Statement of Changes in Beneficial Ownership (4)
10 Mai 2023 - 10:31PM
Edgar (US Regulatory)
|
FORM 4
☐ Check this
box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
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 * Mitts Brian |
2. Issuer Name and Ticker or Trading
Symbol NexPoint Real Estate Finance, Inc. [ NREF
] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
See Remarks |
|
(Last)
(First)
(Middle)
300 CRESCENT COURT, SUITE 700 |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/8/2023
|
|
(Street)
DALLAS, TX 75201 |
4. 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 |
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐ Check this box to indicate
that a transaction was made pursuant to a contract, instruction or
written plan that is intended to satisfy the affirmative defense
conditions of Rule 10b5-1(c). See Instruction 10. |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
5/8/2023 |
|
M |
|
5780 |
A |
(1) |
55358 |
D |
|
|
Common Stock |
5/8/2023 |
|
F |
|
2011 |
D |
$13.48 |
53347 |
D |
|
|
Common Stock |
|
|
|
|
|
|
|
96 |
I |
By child |
|
Common Stock |
|
|
|
|
|
|
|
7748.53 |
I |
By 401(k) plan |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Restricted Stock Units |
(1) |
5/8/2023 |
|
M |
|
|
5780 |
(2) |
(2) |
Common Stock |
5780 |
$0 |
5780 |
D |
|
| Explanation of
Responses: |
| (1) |
Each restricted stock unit
represents a contingent right to receive one share of common stock
of NexPoint Real Estate Finance, Inc. |
| (2) |
On June 24, 2020, the
reporting person was granted 23,121 restricted stock units. The
restricted stock units vested one-fourth on June 24, 2021,
one-fourth on May 8, 2022, and one-fourth on May 8, 2023, and will
vest one-fourth on May 8, 2024. Settlement will generally occur
within 10 days of vesting and may at the discretion of the
Compensation Committee be settled in cash. |
Remarks:
Chief Financial Officer, Executive VP-Finance, Secretary and
Treasurer |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Mitts Brian
300 CRESCENT COURT, SUITE 700
DALLAS, TX 75201 |
X |
|
See Remarks |
|
Signatures
|
|
/s/ Brian Mitts |
|
5/10/2023 |
| **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 4(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. |
NexPoint Real Estate Fin... (NYSE:NREF)
Historical Stock Chart
Von Aug 2023 bis Sep 2023
NexPoint Real Estate Fin... (NYSE:NREF)
Historical Stock Chart
Von Sep 2022 bis Sep 2023
