Statement of Changes in Beneficial Ownership (4)
01 5월 2021 - 5:23AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Harris Brian |
2. Issuer Name and Ticker or Trading Symbol
Ladder Capital Corp
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LADR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O LADDER CAPITAL CORP, 345 PARK AVE, 8TH FL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/29/2021 |
(Street)
NEW YORK, NY 10154
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 4/29/2021 | | S(1) | | 12546 | D | $11.9721 (2) | 613529 | D | |
Class A Common Stock | | | | | | | | 4793623 (3) | I | See Footnote (4) |
Class A Common Stock | | | | | | | | 400540 (3) | I | By Harris Investment Associates, L.P. |
Class A Common Stock | | | | | | | | 1020084 (3) | I | By Harris Investment Associates II, L.P. |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The sales reported in this row were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 2, 2021. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.96 to $12.02, inclusive. The reporting person undertakes to provide to Ladder Capital Corp, any security holder of Ladder Capital Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(3) | The Reporting Person disclaims beneficial ownership of these shares, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. |
(4) | Shares held directly by the Betsy A. Harris 2012 Family Trust, of which Mr. Harris is the trustee. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Harris Brian C/O LADDER CAPITAL CORP 345 PARK AVE, 8TH FL NEW YORK, NY 10154 | X |
| Chief Executive Officer |
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Signatures
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/s/ Michelle Wallach, as Attorney-in-Fact for Brian Harris | | 4/30/2021 |
**Signature of Reporting Person | Date |
Ladder Capital (NYSE:LADR)
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Ladder Capital (NYSE:LADR)
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부터 2월(2) 2024 으로 2월(2) 2025