FILIPPS FRANK P

SEC source: 0001437749-26-031755 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,630

Underlying: Common Stock · 5,755 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-26-022379 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,875

Underlying: Common Stock · 3,586 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-26-010900 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,289

Underlying: Common Stock · 3,561 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-26-000142 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,728

Underlying: Common Stock · 3,472 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-25-030341 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,256

Underlying: Common Stock · 3,566 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-25-021975 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,690

Underlying: Common Stock · 3,566 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-25-010454 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,124

Underlying: Common Stock · 3,324 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-25-000117 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,800

Underlying: Common Stock · 3,213 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-24-030471 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,587

Underlying: Common Stock · 3,041 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-24-021849 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,546

Underlying: Common Stock · 2,547 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-24-010915 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,999

Underlying: Common Stock · 2,379 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001104659-24-027770 · tm246309-5_4seq1.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,025

F1 · shares: On February 22, 2024, the reporting person was awarded 12,693 Restricted Stock Units ("RSUs") under the Ready Capital Corporation 2023 Equity Incentive Plan, which represent the right to receive one share of Common Stock of the Issuer for each RSU at vesting or, at the election of the reporting person, a deferred settlement date. The RSUs will vest in equal installments of one-quarter on March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024. The reporting person will receive dividend equivalent rights on unvested RSUs from the grant date payable in cash in an amount equal to the cash dividend distributions paid on a share of Common Stock of the Issuer.

SEC source: 0001437749-24-000681 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,620

Underlying: Common Stock · 2,520 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-23-027558 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,100

Underlying: Common Stock · 2,497 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-23-019368 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,603

Underlying: Common Stock · 1,854 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001437749-23-009106 · rdgdoc.xml · derivative · entry 2

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,749

Underlying: Common Stock · 1,747 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

SEC source: 0001104659-23-022098 · tm236100-2_4seq1.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,332

F1 · price: On February 12, 2023, the reporting person was awarded 8,860 Restricted Stock Units ("RSUs") under the 2013 Ready Capital Corporation Equity Incentive Plan, which represent the right to receive one share of Common Stock of the Issuer for each RSU at vesting or, at the election of the reporting person, a deferred settlement date. The RSUs will vest in equal installments of one-quarter on March 31, 2023, June 30, 2023, September 30, 2023 and December 31, 2023. The reporting person will receive dividend equivalent rights on unvested RSUs from the grant date payable in cash in an amount equal to the cash dividend distributions paid on a share of Common Stock of the Issuer.

SEC source: 0001275477-23-000006 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,002

Underlying: Common Stock · 1,785 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · shares: The reported shares represent deferred stock units granted in lieu of cash compensation. The shares are issuable on the earlier to occur of death, disability, a change in control or separation from service.

F3 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F3 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001437749-23-009106 · rdgdoc.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,002

Underlying: Common Stock · 2,286 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the earlier to occur of a change of control or the reporting person's death, disability, or separation from service as a director of the Issuer.

F3 · balance_after: The number of shares of common stock reflects the Issuer's one-for-five reverse stock split, effective August 30, 2022.

SEC source: 0001518621-22-000063 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,658

Underlying: Common Stock · 5,494 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001518621-22-000033 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,164

Underlying: Common Stock · 4,615 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001104659-22-023883 · tm226526-6_4seq1.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,472

F1 · price: On February 12, 2022, the reporting person was awarded 7,752 Restricted Stock Units ("RSUs") under the 2012 Ready Capital Corporation Equity Incentive Plan, which represent the right to receive one share of Common Stock of the Issuer for each RSU at vesting or, at the election of the reporting person, a deferred settlement date. The RSUs will vest in equal installments of one-quarter on March 31, 2022, June 30, 2022, September 30, 2022 and December 31, 2022. The reporting person will receive dividend equivalent rights on unvested RSUs from the grant date payable in cash in an amount equal to the cash dividend distributions paid on a share of Common Stock of the Issuer.

SEC source: 0001518621-22-000004 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,549

Underlying: Common Stock · 3,333 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001518621-21-000135 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,216

Underlying: Common Stock · 3,067 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001518621-21-000091 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,149

Underlying: Common Stock · 2,890 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001518621-21-000059 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,259

Underlying: Common Stock · 2,495 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001179110-21-001945 · edgar.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,310

F1 · shares: Represents 20,000 shares of common stock underlying Restricted Stock Units (RSUs) granted under the 2020 Equity Incentive Plan so that each RSU represents a contingent right to receive one share of common stock. The RSUs vest 1/3 a year for 3 years beginning on February 17, 2022.

F2 · balance_after: Includes 39,500 shares of common stock underlying Deferred Stock Units (DSUs), of which 29,500 are vested. The DSUs were granted under the Non-Employee Director Deferred Stock Unit Award Program.

SEC source: 0001104659-21-030284 · tm218354-1_4seq1.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,720

F1 · price: On February 12, 2021, the reporting person was awarded 7,800 shares of restricted Common Stock under the 2012 Ready Capital Corporation Equity Incentive Plan. The shares will vest in equal installments of one-quarter on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021.

F2 · 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 reporting person received approximately 1,279 shares of Common Stock.

F3 · balance_after: Reflects the withholding of an aggregate of 1,387 shares of Common Stock by the Issuer, with approval of the Issuer's Board of Directors, in order to satisfy the tax withholding obligation of the reporting person in connection with prior vesting of Common Stock previously granted and reported on a prior Form 4.

SEC source: 0001518621-21-000004 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,764

Underlying: Common Stock · 2,155 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001518621-20-000095 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,609

Underlying: Common Stock · 2,245 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001518621-20-000048 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,364

Underlying: Common Stock · 2,388 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-20-000056 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,976

Underlying: Common Stock · 3,813 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001104659-20-032502 · a4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,028

F1 · price: On March 10, 2020, the reporting person was awarded 6,268 shares of restricted Common Stock under the 2012 Ready Capital Corporation Equity Incentive Plan. The shares will vest in equal installments of one-quarter on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001179110-20-001621 · edgar.xml · nonDerivative · entry 2

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F2 · shares: Represents 15,000 shares of common stock underlying Restricted Stock Units (RSUs) granted under the 2010 Omnibus Plan so that each RSU represents a contingent right to receive one shareof common stock. The RSUs vest 1/3 a year for 3 years beginning on February 12, 2021.

SEC source: 0001275477-20-000008 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,163

Underlying: Common Stock · 1,923 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-19-000130 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,240

Underlying: Common Stock · 1,956 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-19-000096 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,284

Underlying: Common Stock · 1,768 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-19-000045 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,516

Underlying: Common Stock · 1,709 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001104659-19-013455 · a4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,760

F1 · price: On March 5, 2019, the reporting person was awarded 4,984 shares of restricted Common Stock under the 2012 Ready Capital Corporation Equity Incentive Plan. The shares will vest in equal installments of one-quarter on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019.

SEC source: 0001179110-19-002830 · edgar.xml · nonDerivative · entry 2

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,310

F1 · shares: Represents 15,000 shares of common stock underlying Deferred Stock Units (DSUs) granted under the Non-Employee Director Deferred Stock Unit Award Program so that each DSU represents a contingent right to receive one share of common stock. The DSUs vest 1/3 a year for 3 years beginning on February 26, 2020; however, the shares are distributed only upon termination of the Reporting Person's services as a director of the Issuer.

F2 · balance_after: Includes 39,500 shares of common stock underlying Deferred Stock Units (DSUs), of which 21,167 are vested. The DSUs were granted under the Non-Employee Director Deferred Stock Unit Award Program so that each DSU represents a contingent right to receive one share of common stock. The shares are distributed only upon termination of the Reporting Person's services as a director of the Issuer.

SEC source: 0001275477-19-000013 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,807

Underlying: Common Stock · 1,760 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-18-000131 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,047

Underlying: Common Stock · 1,551 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-18-000093 · form4.xml · derivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,496

Underlying: Common Stock · 1,496 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

SEC source: 0001275477-18-000051 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,299

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $7.37 per share, which represents the closing price on March 29, 2018.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $7.37 per share, which represents the closing price on March 29, 2018.

SEC source: 0001104659-18-015980 · a4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,776

F1 · price: On March 6, 2018, the reporting person was awarded 5,776 Restricted Stock Units ("RSUs") under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan, which represent the right to receive one share of Common Stock of the issuer for each RSU at vesting. Pursuant to the terms of the award agreement, the RSUs will vest in equal increments of one-quarter on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018. The reporting person will receive dividend equivalent rights on unvested RSUs from the grant date payable in cash in an amount equal to the cash dividend distributions paid on a share of Common Stock of the issuer.

SEC source: 0001275477-18-000009 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,773

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

SEC source: 0001275477-17-000083 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,561

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

SEC source: 0001179110-17-011920 · edgar.xml · nonDerivative · entry 2

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,310

F1 · shares: Represents 5,000 shares of common stock underlying Deferred Stock Units (DSUs) granted under the Non-Employee Director Deferred Stock Unit Award Program so that each DSU represents a contingent right to receive one share of common stock. The DSUs vest 1/3 a year for 3 years beginning on August 30, 2018; however, the shares are distributed only upon termination of the Reporting Person's services as a director of the Issuer.

F2 · balance_after: Includes 24,500 shares of common stock underlying Deferred Stock Units (DSUs), of which 19,500 are vested. The DSUs were granted under the Non-Employee Director Deferred Stock Unit Award Program so that each DSU represents a contingent right to receive one share of common stock. The shares are distributed only upon termination of the Reporting Person's services as a director of the Issuer.

SEC source: 0001275477-17-000057 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,457

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017.

SEC source: 0001179110-17-005886 · edgar.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,317

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.99 per share, which represents the closing price on March 31, 2017.