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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Shares | (1) | 12/21/2015 | M | 3,750 | (2) | 12/21/2016(2) | Common Stock | 3,750 | $ 0 | 3,750 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Agarwal Rahul N CIFC CORP. 250 PARK AVENUE; 4TH FLOOR NEW YORK, NY 10177 |
Chief Financial Officer |
/s/ Rahul N. Agarwal | 12/23/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | As previously reported, on October 9, 2013, the Reporting Person was granted 15,000 Performance Shares, 3,750 of which vested on December 21, 2015. Each Performance Share awarded to the Reporting Person represents the right to receive one share of the Issuer's common stock, as specified in the Restricted Stock Unit Agreement between the Issuer and the Reporting Person. The vested Performance Shares were settled by the issuance to the Reporting Person of 3,750 shares of common stock. |
(2) | The Performance Shares vest ratably over a four-year period, with 3,750 units vested on December 21, 2013, 3,750 shares vested on December 21, 2014, 3,750 vested on December 21, 2015, and 3,750 vesting on December 21, 2016, subject to the Reporting Person's continued employment with the Issuer. |