MENDELSOHN LAWRENCE 4

4 · Great Ajax Corp. · Filed Nov 19, 2018

Form 4

Period: 2018-11-19

DirectorChief Executive Officer

Transactions

Purchase
7.25% Convertible Notes due 2024
2018-11-19$24.69/sh+8,000$197,520→ 8,000 total(indirect: By LLC)
Exercise: $15.21From: 2023-04-30Exp: 2024-04-30→ Common Stock, par value $0.01 per share (13,150.4 underlying)

Holdings

Common Stock, par value $0.01 per share
(indirect: By LLC)
49,952
Common Stock, par value $0.01 per share
(indirect: By Spouse)
70
Common Stock, par value $0.01 per share
(indirect: By LLC)
274,667
Common Stock, par value $0.01 per share
(indirect: By LLC)
874,061
Common Stock, par value $0.01 per share
(indirect: By Partnership)
5,923
Common Stock, par value $0.01 per share
(indirect: By LLC)
553,456
Common Stock, par value $0.01 per share
(indirect: By daughter)
70
Common Stock, par value $0.01 per share
27,070
Common Stock, par value $0.01 per share
(indirect: By Flanders Street Capital Partners I., L.P.)
8,518
Common Stock, par value $0.01 per share
(indirect: By son)
70
Common Stock, par value $0.01 per share
(indirect: By LLC)
45,938

Footnotes (5)

[F1]The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission that the reporting person is the beneficial owner of all of the reported shares for purposes of Section 16 or for any other purpose.
[F2]Includes 274,667 shares held by Gregory Funding LLC, 553,456 shares held by Thetis Asset Management LLC and 45,938 shares held by Great Ajax FS LLC reported herein.
[F3]Mr. Mendelsohn and certain members of his family are partners of Mendelsohn Family Limited Partnership.
[F4]The initial conversion rate of the 7.25% convertible notes due 2024 (the ?Notes?) equals 1.6438 shares of the Issuer?s common stock per $25.00 principal amount of notes (equivalent to a conversion price of approximately $15.21 per share of the Issuer?s common stock). The conversion rate, and thus the conversion price, will be subject to adjustment in accordance with the terms of the Notes.
[F5]Calculated based on the initial conversion rate of 1.6438 shares of the Issuer?s common stock per $25.00 principal amount of Notes.

Documents

1 file