4//SEC Filing
MENDELSOHN LAWRENCE 4
Accession 0001144204-19-038657
CIK 0001614806other
Filed
Aug 7, 8:00 PM ET
Accepted
Aug 8, 7:27 PM ET
Size
16.9 KB
Accession
0001144204-19-038657
Insider Transaction Report
Form 4
MENDELSOHN LAWRENCE
DirectorChief Executive Officer
Transactions
- Award
Common Stock, par value $0.01 per share
2019-08-01$13.94/sh+14,000$195,160→ 96,070 total
Holdings
- 8,000(indirect: By LLC)
7.25% Convertible Notes due 2024
Exercise: $15.06From: 2023-04-30Exp: 2024-04-30→ Common Stock, par value $0.01 per share (13,281.6 underlying) - 274,667(indirect: By LLC)
Common Stock, par value $0.01 per share
- 594,463(indirect: By LLC)
Common Stock, par value $0.01 per share
- 75,001(indirect: By LLC)
Common Stock, par value $0.01 per share
- 59,742(indirect: By LLC)
Common Stock, par value $0.01 per share
- 860(indirect: By LLC)
Common Stock, par value $0.01 per share
- 98(indirect: By Trust)
Common Stock, par value $0.01 per share
- 7,521(indirect: By Partnership)
Common Stock, par value $0.01 per share
- 8,518(indirect: By Flanders Street Capital Partners I., L.P.)
Common Stock, par value $0.01 per share
- 70(indirect: By Spouse)
Common Stock, par value $0.01 per share
- 944,231(indirect: By LLC)
Common Stock, par value $0.01 per share
- 198(indirect: By AIM Capital)
Common Stock, par value $0.01 per share
Footnotes (7)
- [F1]Granted pursuant to the shareholder approved 2016 Equity Incentive Plan, which will vest in three equal installments annually starting August 1, 2020.
- [F2]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.
- [F3]Securities received pursuant to a distribution made by Aspen Yo to its limited partners.
- [F4]Includes 274,667 shares held by Gregory Funding LLC, 594,463 shares held by Thetis Asset Management LLC, 100 shares held by Aspen Yo LLC and 75,001 shares held by Great Ajax FS LLC reported herein.
- [F5]Mr. Mendelsohn and certain members of his family are partners of Mendelsohn Family Limited Partnership.
- [F6]The initial conversion rate of the 7.25% convertible notes due 2024 (the "Notes") equals 1.6602 shares of the Issuer's common stock per $25.00 principal amount of notes (equivalent to a conversion price of approximately $15.06 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.
- [F7]Calculated based on the initial conversion rate of 1.6602 shares of the Issuer's common stock per $25.00 principal amount of Notes.
Documents
Issuer
Great Ajax Corp.
CIK 0001614806
Entity typeother
Related Parties
1- filerCIK 0001033026
Filing Metadata
- Form type
- 4
- Filed
- Aug 7, 8:00 PM ET
- Accepted
- Aug 8, 7:27 PM ET
- Size
- 16.9 KB