Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ready Capital CorpSLD · Entity 5999 | Chief Operating Officer | March 06, 2018 | March 08, 2018 |
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 March 06, 2018 · Filed March 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,186 |
Reported balance
After 2018-03-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-06 · Grant · Acquired 19,854 · Balance 30,186 F1: On March 6, 2018, the Reporting Person was awarded 19,854 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 19,854 restricted shares of common stock will vest in equal increments of one-third on March 6, 2019, March 6, 2020, and March 6, 2021. The Reporting Person will receive dividends on the unvested shares of restricted common stock. F2: Includes 8,077 unvested shares of common stock that were granted to the Reporting Person by Waterfall Asset Management, LLC, the Issuer's external manager. The 30,186 shares of common stock reported in Column 5 herein do not include 99 shares of common stock that were erroneously reported in Column 2 of the Reporting Person's Form 3 filed on June 27, 2017. F3: Represents 15,008 shares of common stock of the Issuer out of the 13,913,400 total shares of common stock held by Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in the Partnership. Waterfall Management, LLC, an affiliate of Waterfall Asset Management, LLC, the Issuer's external manager, serves as the general partner of the Partnership and may be deemed to be the beneficial owner of the shares of common stock of the Issuer that are held by the Partnership. In addition, the Reporting Person is a managing director of Waterfall Asset Management, LLC and may be deemed to share voting and investment power over the shares of common stock of the Issuer held by the Partnership. However, Waterfall Management, LLC does not have an economic interest in certain of these shares and expects to distribute such shares to the beneficial owners of the Partnership upon their request in accordance with the Partnership's partnership agreement. |
| Common StockSEC Table I · non-derivative | IndirectBy Sutherland REIT Holdings, LP | 15,008 |
Reported balance
Holding disclosure · report date 2018-03-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 15,008 F4: Accordingly, Waterfall Management, LLC disclaims beneficial ownership of the shares of common stock held by the Partnership and the Reporting Person disclaims beneficial ownership of such shares of common stock, except to the extent of the 15,008 shares reported herein, which represents her economic interest in the Partnership. 15,088 shares of common stock were erroneously reported in footnotes 2 and 3 of the Reporting Person's Form 3 filed on June 27, 2017 as being held by the Reporting Person based on the Reporting Person's percentage ownership in Sutherland REIT Holdings, LP. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 6, 2018, the Reporting Person was awarded 19,854 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 19,854 restricted shares of common stock will vest in equal increments of one-third on March 6, 2019, March 6, 2020, and March 6, 2021. The Reporting Person will receive dividends on the unvested shares of restricted common stock.
F2: Includes 8,077 unvested shares of common stock that were granted to the Reporting Person by Waterfall Asset Management, LLC, the Issuer's external manager. The 30,186 shares of common stock reported in Column 5 herein do not include 99 shares of common stock that were erroneously reported in Column 2 of the Reporting Person's Form 3 filed on June 27, 2017.
F3: Represents 15,008 shares of common stock of the Issuer out of the 13,913,400 total shares of common stock held by Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in the Partnership. Waterfall Management, LLC, an affiliate of Waterfall Asset Management, LLC, the Issuer's external manager, serves as the general partner of the Partnership and may be deemed to be the beneficial owner of the shares of common stock of the Issuer that are held by the Partnership. In addition, the Reporting Person is a managing director of Waterfall Asset Management, LLC and may be deemed to share voting and investment power over the shares of common stock of the Issuer held by the Partnership. However, Waterfall Management, LLC does not have an economic interest in certain of these shares and expects to distribute such shares to the beneficial owners of the Partnership upon their request in accordance with the Partnership's partnership agreement.
F4: Accordingly, Waterfall Management, LLC disclaims beneficial ownership of the shares of common stock held by the Partnership and the Reporting Person disclaims beneficial ownership of such shares of common stock, except to the extent of the 15,008 shares reported herein, which represents her economic interest in the Partnership. 15,088 shares of common stock were erroneously reported in footnotes 2 and 3 of the Reporting Person's Form 3 filed on June 27, 2017 as being held by the Reporting Person based on the Reporting Person's percentage ownership in Sutherland REIT Holdings, LP.
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 |
|---|---|---|---|---|---|---|
| March 06, 2018 Filed Mar 8, 2018 19:01 UTC | Ready Capital Corp SLD · Entity 5999 | GrantCommon Stock | 19,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-015976 · a4.xml · nonDerivative · entry 1 Mortensen Carole · CIK 0001710211 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,186 F1 · price: On March 6, 2018, the Reporting Person was awarded 19,854 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 19,854 restricted shares of common stock will vest in equal increments of one-third on March 6, 2019, March 6, 2020, and March 6, 2021. The Reporting Person will receive dividends on the unvested shares of restricted common stock. F2 · balance_after: Includes 8,077 unvested shares of common stock that were granted to the Reporting Person by Waterfall Asset Management, LLC, the Issuer's external manager. The 30,186 shares of common stock reported in Column 5 herein do not include 99 shares of common stock that were erroneously reported in Column 2 of the Reporting Person's Form 3 filed on June 27, 2017. F3 · ownership.direct: Represents 15,008 shares of common stock of the Issuer out of the 13,913,400 total shares of common stock held by Sutherland REIT Holdings, LP (the "Partnership") based on the Reporting Person's percentage ownership in the Partnership. Waterfall Management, LLC, an affiliate of Waterfall Asset Management, LLC, the Issuer's external manager, serves as the general partner of the Partnership and may be deemed to be the beneficial owner of the shares of common stock of the Issuer that are held by the Partnership. In addition, the Reporting Person is a managing director of Waterfall Asset Management, LLC and may be deemed to share voting and investment power over the shares of common stock of the Issuer held by the Partnership. However, Waterfall Management, LLC does not have an economic interest in certain of these shares and expects to distribute such shares to the beneficial owners of the Partnership upon their request in accordance with the Partnership's partnership agreement. 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.