Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ready Capital CorpRC · Entity 5999 | Chief Investment Officer | November 08, 2021 | November 10, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Ready Capital Corp
Report date November 08, 2021 · Filed November 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Waterfall | 30,771 |
Reported balance
After 2021-11-08 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-11-08 · Grant · Acquired 7,302 · Balance 30,771 F1: On November 8, 2021, the board of the directors of the Issuer approved the issuance of 84,758 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 7,302 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 84,758 shares based on the Reporting Person's percentage ownership in the Manager. F2: These shares represent the 30,771 shares of Common Stock of the Issuer out of the 341,428 and 8,869 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 113,361 |
Reported balance
Holding disclosure · report date 2021-11-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 113,361 |
Filing footnotes · ownership attribution and instrument terms
F1: On November 8, 2021, the board of the directors of the Issuer approved the issuance of 84,758 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 7,302 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 84,758 shares based on the Reporting Person's percentage ownership in the Manager.
F2: These shares represent the 30,771 shares of Common Stock of the Issuer out of the 341,428 and 8,869 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 08, 2021 Filed Nov 10, 2021 21:28 UTC | Ready Capital Corp RC · Entity 5999 | GrantCommon Stock | 7,302 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-137200 · tm2132621-2_4seq1.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Waterfall Disclosed balance after: 30,771 F1 · price: On November 8, 2021, the board of the directors of the Issuer approved the issuance of 84,758 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 7,302 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 84,758 shares based on the Reporting Person's percentage ownership in the Manager. F2 · balance_after: These shares represent the 30,771 shares of Common Stock of the Issuer out of the 341,428 and 8,869 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. Read SEC document |
| August 06, 2020 Filed Aug 10, 2020 21:21 UTC | Ready Capital Corp RC · Entity 5999 | GrantCommon Stock | 17,968 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-092928 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Waterfall Disclosed balance after: 23,469 F1 · price: On August 6, 2020, the board of the directors of the Issuer approved the issuance of 208,690 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 17,968 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 208,690 shares based on the Reporting Person's percentage ownership in the Manager. F2 · balance_after: These shares represent the 23,469 shares of Common Stock of the Issuer out of the 263,695 and 8,869 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, including through each entity's ownership of Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. F3 · balance_after: On March 11, 2020, the Issuer's Board of Directors declared a quarterly cash dividend of $0.40 per share of common stock. On March 20, 2020, the Issuer announced that the dividend will be paid in a combination of cash and common stock on April 30, 2020 to common stockholders of record as of the close of business of March 31, 2020. As a result, the Manager received 2,956 shares and WM received 415 shares of Common Stock. The 291 shares of Common Stock reflected on this Form 4 represent the reporting person's pro rata ownership of the 3,371 shares based on the reporting person's percentage of direct ownership interests in the Manager and WM. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 16:30 UTC | Ready Capital Corp RC · Entity 5999 | GrantCommon Stock | 358 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-045963 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Waterfall Disclosed balance after: 5,210 F1 · price: On April 9, 2020, the board of the directors of the Issuer approved the issuance of 4,154 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 358 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 4,154 shares based on the Reporting Person's percentage ownership in the Manager. F2 · balance_after: These shares represent the 5,210 shares of Common Stock of the Issuer out of the 52,049 and 8,454 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, including through each entity's ownership of Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 19:01 UTC | Ready Capital Corp RC · Entity 5999 | PurchaseCommon Stock | 10,000 | $6.33 | $63,338.00 |
DisclosureSEC source: 0001104659-20-036977 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,060 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.30 to $6.35, inclusive on March 13, 2020. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 19:20 UTC | Ready Capital Corp RC · Entity 5999 | PurchaseCommon Stock | 15,000 | $9.87 | $147,997.50 |
DisclosureSEC source: 0001104659-20-034888 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,060 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $9.715 to $9.99, inclusive on March 13, 2020. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 13, 2019 Filed Mar 14, 2019 21:15 UTC | Ready Capital Corp RC · Entity 5999 | GrantCommon Stock | 1,288 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-014945 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Waterfall Disclosed balance after: 4,852 F1 · price: On March 13, 2019, the board of the directors of the Issuer approved the issuance of 14,939 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 1,288 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 14,939 shares based on the Reporting Person's percentage ownership in the Manager. F2 · balance_after: These shares represent the 4,852 shares of Common Stock of the Issuer out of the 47,895 and 8,454 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, including through each entity's ownership of Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. Read SEC document |
| March 05, 2019 Filed Mar 7, 2019 19:38 UTC | Ready Capital Corp RC · Entity 5999 | GrantCommon Stock | 2,110 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-013453 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,060 F1 · price: On March 5, 2019, the Reporting Person was granted 2,110 shares of Common Stock of the Issuer out of the 27,198 shares of the incentive distribution that were previously issued by the Issuer to Waterfall Asset Management, LLC, the Issuer's external manager (the "Manager") pursuant to the management agreement between the Issuer and the Manager in January 2016. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 17:02 UTC | Ready Capital Corp SLD · Entity 5999 | GrantCommon Stock | 699 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-052005 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Waterfall Disclosed balance after: 5,908 F1 · price: On August 10, 2018, the board of the directors of the Issuer approved the issuance of 8,123 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 699 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 8,123 shares based on the Reporting Person's percentage ownership in the Manager. F2 · balance_after: These shares represent the 5,908 shares of Common Stock of the Issuer out of the 60,154 and 8,454 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, including through each entity's ownership of Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. Read SEC document |
| May 16, 2018 Filed May 18, 2018 17:47 UTC | Ready Capital Corp SLD · Entity 5999 | GrantCommon Stock | 1,143 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-034560 · a4.xml · nonDerivative · entry 1 Buttacavoli Thomas · CIK 0001689600 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Waterfall Disclosed balance after: 5,209 F1 · price: On May 16, 2018, the board of the directors of the Issuer approved the issuance of 13,274 shares of Common Stock to Waterfall Asset Management, LLC, its external manager (the "Manager"), as payment of 50% of the incentive distribution payable to the Manager pursuant to the management agreement between the Issuer and the Manager. The 1,143 shares of Common Stock reported on this Form 4 represent the Reporting Person's pro rata ownership of the 13,274 shares based on the Reporting Person's percentage ownership in the Manager. F2 · balance_after: These shares represent the 5,209 shares of Common Stock of the Issuer out of the 52,031 and 8,454 total shares of Common Stock held by the Manager and Waterfall Management, LLC ("WM" and together with the Manager, "Waterfall"), respectively, including through each entity's ownership of Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in Waterfall. The Reporting Person disclaims beneficial ownership of the shares held by Waterfall, except to the extent of his economic interest therein. The 5,209 shares include 2,342 shares omitted from the Reporting Person's Form 3 filed on November 10, 2016 (the "Form 3"). The Form 3 also reported the Reporting Person's total indirect ownership through Waterfall as 3,711 when it should have been reported as 1,724 shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.