Form 4 for NREF NexPoint Real Estate Finance, Inc.
Accepted 2023-02-23 00:00:00 ET · period of report 2023-02-21 · accession 0001437749-23-004419 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-02-23 | 2023-02-21+ | NREF | Mitts Brian | See Remarks, Dir | M - OptEx | — | +10.7K | 47.9K | +29% | — |
| DM | 2023-02-23 | 2023-02-21+ | NREF | Mitts Brian | See Remarks, Dir | F - Tax | $18.39 | -3,462 | 49.6K | -7% | -$63.7K |
| DM | 2023-02-23 | 2023-02-21+ | NREF | Mitts Brian | See Remarks, Dir | M - OptEx | $0.00 | -10.7K | 10.3K | -51% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-22 | M | A | 5,164 | — | 51,220 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of common stock of NexPoint Real Estate Finance, Inc. |
| 2 | Common | Common Stock | 2023-02-21 | F | D | 1,820 | $18.50 | 46,056 | D | — | — | |
| 3 | Common | Common Stock | 2023-02-21 | M | A | 5,539 | — | 47,876 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of common stock of NexPoint Real Estate Finance, Inc. |
| 4 | Common | Common Stock | 2023-02-22 | F | D | 1,642 | $18.27 | 49,578 | D | — | — | |
| 5 | Derivative | Restricted Stock Units | 2023-02-21 | M | D | 5,539 | $0.00 | 16,616 | D | — · — to — | 5,539 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of common stock of NexPoint Real Estate Finance, Inc. (F2) On February 21, 2022, the reporting person was granted 22,155 restricted stock units. The restricted stock units vested one-fourth on February 21, 2023 and will vest one-fourth on February 21, 2024, one-fourth on February 21, 2025, and one-fourth on February 21, 2026. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash. |
| 6 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 5,164 | $0.00 | 10,326 | D | — · — to — | 5,164 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of common stock of NexPoint Real Estate Finance, Inc. (F3) On February 22, 2021, the reporting person was granted 20,654 restricted stock units. The restricted stock units vested one-fourth on February 22, 2022 and one-fourth on February 22, 2023, and will vest one-fourth on February 22, 2024 and one-fourth on February 22, 2025. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash. |