Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Chicago Atlantic BDC, Inc.LIEN · Entity 6189 | Director | October 01, 2024 | October 11, 2024 |
| Chicago Atlantic Real Estate Finance, Inc.REFI · Entity 6035 | Director | April 01, 2024 | April 03, 2024 |
| Marblegate Capital CorpNONE · Entity 6915 | Director | April 07, 2025 | April 07, 2025 |
| Ready Capital CorpSLD · Entity 5999 | Chief Financial 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.
Chicago Atlantic BDC, Inc.
Report date October 01, 2024 · Filed October 11, 2024
This filing explicitly reported no securities owned.
Chicago Atlantic Real Estate Finance, Inc.
Report date April 01, 2024 · Filed April 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,475 |
Reported balance
After 2024-04-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-04-01 · Grant · Acquired 4,811 · Balance 19,475 F1: On April 1, 2024, Mr. Herbst was awarded 4,811 restricted shares of common stock under the Chicago Atlantic Real Estate Finance, Inc. 2021 Omnibus Incentive Plan. Pursuant to the terms of the award agreement, the 4,811 restricted shares of common stock will vest over a one year period. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 1, 2024, Mr. Herbst was awarded 4,811 restricted shares of common stock under the Chicago Atlantic Real Estate Finance, Inc. 2021 Omnibus Incentive Plan. Pursuant to the terms of the award agreement, the 4,811 restricted shares of common stock will vest over a one year period.
Marblegate Capital Corp
Report date April 07, 2025 · Filed April 07, 2025
This filing explicitly reported no securities owned.
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 | 32,795 |
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 14,439 · Balance 32,795 F1: On March 6, 2018, the reporting person was awarded 14,439 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 14,439 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. The shares of common stock are held through FREDERICK C HERBST & CAROLYN B HERBST JT TEN, a joint tenant account of the reporting person and his wife. |
| Common StockSEC Table I · non-derivative | IndirectBy Sutherland REIT Holdings, LP. | 14,733 |
Reported balance
Holding disclosure · report date 2018-03-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 14,733 F2: These shares represent 14,733 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. F3: 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. 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 14,733 shares reported herein, which represents his economic interest in the Partnership. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 6, 2018, the reporting person was awarded 14,439 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 14,439 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. The shares of common stock are held through FREDERICK C HERBST & CAROLYN B HERBST JT TEN, a joint tenant account of the reporting person and his wife.
F2: These shares represent 14,733 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.
F3: 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. 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 14,733 shares reported herein, which represents his economic interest in the Partnership.
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 |
|---|---|---|---|---|---|---|
| April 01, 2024 Filed Apr 3, 2024 21:38 UTC | Chicago Atlantic Real Estate Finance, Inc. REFI · Entity 6035 | GrantCommon Stock | 4,811 | $15.59 | $75,003.49 |
DisclosureSEC source: 0001213900-24-030043 · ownership.xml · nonDerivative · entry 1 HERBST FREDERICK C · CIK 0001285197 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,475 F1 · balance_after: On April 1, 2024, Mr. Herbst was awarded 4,811 restricted shares of common stock under the Chicago Atlantic Real Estate Finance, Inc. 2021 Omnibus Incentive Plan. Pursuant to the terms of the award agreement, the 4,811 restricted shares of common stock will vest over a one year period. Read SEC document |
| December 31, 2022 Filed Jan 4, 2023 20:39 UTC | Chicago Atlantic Real Estate Finance, Inc. REFI · Entity 6035 | GrantCommon Stock | 4,976 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-000955 · ownership.xml · nonDerivative · entry 1 HERBST FREDERICK C · CIK 0001285197 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,664 F1 · balance_after: On December 31, 2022, Mr. Herbst was awarded 4,976 restricted shares of common stock under the Chicago Atlantic Real Estate Finance, Inc. 2021 Omnibus Incentive Plan. Pursuant to the terms of the award agreement, the 4,976 restricted shares of common stock will vest over a three year period, with one-third of the restricted stock vesting after 12 months, 24 months and 36 months, respectively. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 20:36 UTC | Chicago Atlantic Real Estate Finance, Inc. REFI · Entity 6035 | GrantCommon Stock | 4,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-064790 · ownership.xml · nonDerivative · entry 2 HERBST FREDERICK C · CIK 0001285197 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,688 F2 · balance_after: On December 10, 2021, Mr. Herbst was awarded 4,688 restricted shares of common stock under the Chicago Atlantic Real Estate Finance, Inc. 2021 Omnibus Incentive Plan. Pursuant to the terms of the award agreement, the 4,688 restricted shares of common stock will vest in three years, with one-third of the restricted stock vesting after 12 months, and one-twenty fourth of the restricted stock vesting on a monthly basis thereafter. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 20:36 UTC | Chicago Atlantic Real Estate Finance, Inc. REFI · Entity 6035 | PurchaseCommon Stock | 5,000 | $16.00 | $80,000.00 |
DisclosureSEC source: 0001213900-21-064790 · ownership.xml · nonDerivative · entry 1 HERBST FREDERICK C · CIK 0001285197 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · balance_after: All of the shares held by Mr. Herbst are subject to a 180-day lockup that ends on June 5, 2022. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 19:01 UTC | Ready Capital Corp SLD · Entity 5999 | GrantCommon Stock | 14,439 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-015975 · a4.xml · nonDerivative · entry 1 HERBST FREDERICK C · CIK 0001285197 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,795 F1 · price: On March 6, 2018, the reporting person was awarded 14,439 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 14,439 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. The shares of common stock are held through FREDERICK C HERBST & CAROLYN B HERBST JT TEN, a joint tenant account of the reporting person and his wife. F1 · balance_after: On March 6, 2018, the reporting person was awarded 14,439 restricted shares of common stock under the 2012 Sutherland Asset Management Corporation Equity Incentive Plan. Pursuant to the terms of the award agreement, the 14,439 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. The shares of common stock are held through FREDERICK C HERBST & CAROLYN B HERBST JT TEN, a joint tenant account of the reporting person and his wife. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 18:43 UTC | Ready Capital Corp SLD · Entity 5999 | PurchaseCommon Stock | 10,000 | $13.15 | $131,500.00 |
DisclosureSEC source: 0001104659-16-159814 · a4.xml · nonDerivative · entry 1 HERBST FREDERICK C · CIK 0001285197 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,356 F1 · shares: The shares of common stock of the Issuer are held through FREDERICK C HERBST & CAROLYN B HERBST JT TEN, a joint tenant account of the Reporting Person and his wife. F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $13.05 to $13.20, inclusive on November 28, 2016. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.