4//SEC Filing
MENDELSOHN LAWRENCE 4
Accession 0001628280-20-013348
CIK 0001614806other
Filed
Sep 3, 8:00 PM ET
Accepted
Sep 4, 5:55 PM ET
Size
17.1 KB
Accession
0001628280-20-013348
Insider Transaction Report
Form 4
MENDELSOHN LAWRENCE
DirectorChief Executive Officer
Transactions
- Award
Common Stock, par value $0.01 per share
2020-09-03$8.95/sh+3,000$26,861→ 67,349 total(indirect: By LLC)
Holdings
- 564,960(indirect: By LLC)
Common Stock, par value $0.01 per share
- 9,191(indirect: By Partnership)
Common Stock, par value $0.01 per share
- 1,642(indirect: By LLC)
Common Stock, par value $0.01 per share
- 189(indirect: By Trust)
Common Stock, par value $0.01 per share
- 8,000(indirect: By LLC)
7.25% Convertible Notes due 2024
Exercise: $14.47From: 2023-04-30Exp: 2024-04-30→ Common Stock, par value $0.01 per share (13,823.2 underlying) - 73(indirect: By Spouse)
Common Stock, par value $0.01 per share
- 284,285(indirect: By LLC)
Common Stock, par value $0.01 per share
- 103,434
Common Stock, par value $0.01 per share
- 16,061(indirect: By Flanders Street Credit Partners I., L.P.)
Common Stock, par value $0.01 per share
- 377(indirect: By AIM Capital)
Common Stock, par value $0.01 per share
- 927,343(indirect: By LLC)
Common Stock, par value $0.01 per share
- 77,627(indirect: By LLC)
Common Stock, par value $0.01 per share
- 73(indirect: By son)
Common Stock, par value $0.01 per share
Footnotes (8)
- [F1]Total is reduced by one share for rounding adjustment on stock dividend.
- [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]Includes 226 shares distributed to Aspen Uranus LLC, 118 shares distributed to AIM Capital, 511 shares distributed to RPM Capital LLC, 59 shares distributed to wife through RAD Children's Trust and 961 shares distributed to Mendelsohn Family Limited Partnership by Thetis Asset Management LLC.
- [F4]Includes 284,285 shares held by Gregory Funding LLC, 564,960 shares held by Thetis Asset Management LLC, 471 shares held by Aspen Yo LLC and 77,627 shares held by Great Ajax FS LLC reported herein. Total is net of distributions of 78,887 shares to entities not controlled by Mr. Mendelsohn.
- [F5]Mr. Mendelsohn and certain members of his family are partners of Mendelsohn Family Limited Partnership.
- [F6]Includes 70 shares from a stock dividend paid to Mendelsohn Family Limited Partnership.
- [F7]The conversion rate of the 7.25% convertible notes due 2024 (the "Notes") equals 1.7279 shares of the Issuer's common stock per $25.00 principal amount of notes (equivalent to a conversion price of approximately $14.47 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.
- [F8]Calculated based on the conversion rate of 1.7279 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
- Sep 3, 8:00 PM ET
- Accepted
- Sep 4, 5:55 PM ET
- Size
- 17.1 KB