Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lument Finance Trust, Inc.OAKS · Entity 7355 | 10% owner | January 18, 2018 | January 18, 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.
Lument Finance Trust, Inc.
Report date January 18, 2018 · Filed January 18, 2018
Jointly reported with XL Investments Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 3,330,550 |
Reported balance
After 2018-01-18 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2018-01-18 · Sale · Disposed 710,495 · Balance 3,330,550 F1: See Exhibit 99.1; Note 1. F2: See Exhibit 99.1; Note 2. F3: See Exhibit 99.1; Note 3. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 10,230 |
Reported balance
Holding disclosure · report date 2018-01-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,230 F2: See Exhibit 99.1; Note 2. F4: See Exhibit 99.1; Note 4. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $13.11 · Expires 2019-09-29 | IndirectSee Footnote | 0 |
Reported balance
After 2018-01-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-01-18 · Other · Disposed 3,753,492 · Balance 0 F5: See Exhibit 99.1; Note 5. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibit 99.1; Note 1.
F2: See Exhibit 99.1; Note 2.
F3: See Exhibit 99.1; Note 3.
F4: See Exhibit 99.1; Note 4.
F5: See Exhibit 99.1; Note 5.
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 |
|---|---|---|---|---|---|---|
| January 18, 2018 Filed Jan 18, 2018 17:19 UTC | Lument Finance Trust, Inc. OAKS · Entity 7355 | OtherWarrants to Purchase Common Stock · Derivative | 3,753,492 | $0.00 Strike: $13.11 | $0.00 |
DisclosureSEC source: 0000899243-18-001345 · doc4.xml · derivative · entry 3 XL Bermuda Ltd · CIK 0001693315 · 10% owner XL Investments Ltd · CIK 0001570624 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 3,753,492 shares Expires 2019-09-29 F5 · kind: See Exhibit 99.1; Note 5. F5 · price: See Exhibit 99.1; Note 5. F5 · ownership.nature: See Exhibit 99.1; Note 5. Read SEC document |
| January 18, 2018 Filed Jan 18, 2018 17:19 UTC | Lument Finance Trust, Inc. OAKS · Entity 7355 | SaleCommon Stock, par value $0.01 per share | 710,495 | $4.77 | $3,389,061.15 |
DisclosureSEC source: 0000899243-18-001345 · doc4.xml · nonDerivative · entry 1 XL Bermuda Ltd · CIK 0001693315 · 10% owner XL Investments Ltd · CIK 0001570624 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,330,550 F1 · ownership.nature: See Exhibit 99.1; Note 1. F2 · ownership.nature: See Exhibit 99.1; Note 2. F3 · ownership.nature: See Exhibit 99.1; Note 3. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 14:40 UTC | Lument Finance Trust, Inc. OAKS · Entity 7355 | OtherCommon Stock, par value $0.01 per share | 2,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-091047 · doc1.xml · nonDerivative · entry 2 XL Bermuda Ltd · CIK 0001693315 · 10% owner XL Investments Ltd · CIK 0001570624 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 10,230 F1 · kind: See Exhibit 99.1; Note 1. F2 · ownership.nature: See Exhibit 99.1; Note 2. F4 · ownership.nature: See Exhibit 99.1; Note 4. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 14:40 UTC | Lument Finance Trust, Inc. OAKS · Entity 7355 | OtherCommon Stock, par value $0.01 per share | 811,878 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-091047 · doc1.xml · nonDerivative · entry 1 XL Bermuda Ltd · CIK 0001693315 · 10% owner XL Investments Ltd · CIK 0001570624 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,041,045 F1 · kind: See Exhibit 99.1; Note 1. F2 · ownership.nature: See Exhibit 99.1; Note 2. F3 · ownership.nature: See Exhibit 99.1; Note 3. 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.