FRANK ALEXANDER C

SEC source: 0001628280-26-010822 · wk-form4_1771897747.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,906.536

F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall become fully-vested on the first anniversary of January 2, 2026, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement.

SEC source: 0001628280-25-053678 · wk-form4_1763775701.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,196

F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of November 20, 2025.

SEC source: 0001829126-26-001347 · ownership.xml · nonDerivative · entry 2

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,835.536

F1 · shares: Pertains to de minimus dividend reinvestment transactions.

SEC source: 0001829126-26-001347 · ownership.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,710.986

F1 · shares: Pertains to de minimus dividend reinvestment transactions.

F2 · balance_after: Includes shares acquired pursuant to Sunrise Realty Trust, Inc.'s dividend reinvestment plan in transactions exempt from Section 16 pursuant to Rule 16a-11.

SEC source: 0001226177-25-000004 · wk-form4_1741638665.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,137

F1 · price: This transaction was executed in multiple trades ranging from $11.29 to $11.30; the price reported reflects the weighted average price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or any security holder of the issuer.

SEC source: 0001226177-25-000002 · wk-form4_1740692060.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,722

F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2025, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement.

SEC source: 0001226177-24-000010 · wk-form4_1734988149.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,737

F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall become fully-vested on the first anniversary of December 19, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement.

SEC source: 0001226177-24-000008 · wk-form4_1720827801.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,976

F1 · balance_after: Includes 2,976 shares received in connection with the spin-off of the Issuer from AFC Gamma, Inc., of which 427 shares are restricted shares received in the spin-off from restricted common stock granted under AFC Gamma, Inc. Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement.

SEC source: 0001822523-24-000006 · wk-form4_1706221344.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,930

F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement.

SEC source: 0001209191-23-002041 · doc4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,648

F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 3, 2023, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement.

SEC source: 0001140361-22-001642 · form4.xml · derivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2029-01-10

F1 · derivative.exercise_date: The Stock Option will vest and become exercisable upon the one-year anniversary of the grant date, subject to early termination and adjustment as provided in the applicable stock option agreement.

SEC source: 0001140361-21-010096 · form4.xml · derivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires 2028-03-23

F1 · derivative.exercise_date: The shares subject to this option fully vested and became exercisable upon the consummation of the Issuer's initial public offering.

SEC source: 0001144204-17-053288 · tv477350_4.xml · derivative · entry 3

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 76,366 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.

F1 · kind: On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.

F1 · derivative.exercise_date: On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.

F1 · derivative.expiration_date: On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.

SEC source: 0001144204-17-053288 · tv477350_4.xml · nonDerivative · entry 2

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,241

SEC source: 0001144204-17-053288 · tv477350_4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,926

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.

F1 · price: On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.

SEC source: 0001144204-17-053084 · tv477254_4.xml · derivative · entry 5

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,240

Underlying: Class A Common Stock · 72,700 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis.

F2 · kind: On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis.

F3 · derivative.exercise_date: Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Frank will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture.

F3 · derivative.expiration_date: Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Frank will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture.

SEC source: 0001144204-17-053084 · tv477254_4.xml · nonDerivative · entry 3

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,560

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis.

F2 · price: On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis.

SEC source: 0001144204-17-053084 · tv477254_4.xml · derivative · entry 4

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 52,317 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis.

F1 · kind: Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis.

F1 · derivative.exercise_date: Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis.

F1 · derivative.expiration_date: Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis.

SEC source: 0001144204-17-053084 · tv477254_4.xml · nonDerivative · entry 2

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,860

F2 · kind: On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis.

SEC source: 0001144204-17-053084 · tv477254_4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,317

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis.

F1 · price: Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis.

SEC source: 0001144204-17-002521 · v457054_form4.xml · derivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,336

Underlying: Class A Common Stock · 76,336 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer. No later than 60 days following each vesting date, one share of Class A common stock of the Issuer shall be issued for each restricted stock unit that becomes vested on such vesting date.

F2 · derivative.exercise_date: One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017.

F2 · derivative.expiration_date: One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017.

SEC source: 0001204892-04-000146 · doc4.xml · derivative · entry 5

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,702 shares

Expires 2005-01-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001204892-04-000146 · doc4.xml · nonDerivative · entry 3

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,931

SEC source: 0001204892-04-000146 · doc4.xml · nonDerivative · entry 2

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,516

SEC source: 0001204892-04-000146 · doc4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,218

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001204892-04-000125 · doc4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,516

F1 · security: Stock Units that are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001204892-04-000097 · doc4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,360

SEC source: 0001204892-03-000085 · doc4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,870

SEC source: 0001204892-03-000074 · doc4.xml · derivative · entry 3

FRANK ALEXANDER C · CIK 0001226177 · Treasurer and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,265

Underlying: Common Stock · 9,265 shares

Expires 2014-01-02

F2 · derivative.exercise_date: Options are exercisable upon vesting. Vesting occurs as follows: 50% of the award vests on January 2, 2006 and the remaining 50 % vests on January 2, 2007.

SEC source: 0001204892-03-000074 · doc4.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Treasurer and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,417

F1 · kind: Stock Units which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001204892-03-000048 · doc4.xml · derivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Treasurer and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,074

Underlying: Common Stock · 65,074 shares

Expires 2014-01-02

F1 · derivative.exercise_date: Options are exercisable upon vesting. Vesting occurs in five equal installments beginning on January 2, 2005. Shares received upon exercise of options generally may not be sold for five years from grant date and thereafter are subject to certain further restrictions based upon the age of the reporting person.

SEC source: 0001181431-03-022469 · rrd17989.xml · nonDerivative · entry 1

FRANK ALEXANDER C · CIK 0001226177 · Treasurer and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,299