Statement of Changes in Beneficial Ownership (4)
May 29 2020 - 5:03PM
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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3235-0287
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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
*
McGraner Matt |
2. Issuer Name and Ticker or Trading Symbol
NexPoint Real Estate Finance, Inc.
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NREF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
300 CRESCENT COURT, SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/29/2020 |
(Street)
DALLAS, TX 75201
(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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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 |
OP Units (1) | (2) | 5/29/2020 | | J (3) | | 141084 | | (4) | (4) | Common Stock | 141084 | (3) | 141084 | I | See Footnote (5) |
Explanation of Responses: |
(1) | Represents common units of limited partnership interest (the "OP Units") in NexPoint Real Estate Finance Operating Partnership, L.P., the Issuer's operating partnership (the "OP"). |
(2) | The OP Units are redeemable, beginning on May 29, 2021, for cash equal to the then current-market value of one share of the Issuer's common stock or, at the election of the Issuer and only after receiving the approval of the Issuer's stockholders, for shares of the Issuer's common stock on a one-for-one basis. |
(3) | The OP Units were issued in connection with a contribution agreement, pursuant to which the reporting person contributed his interest in an entity to the OP. |
(4) | The OP Units are vested as of the date of issuance. The OP Units have no expiration date. |
(5) | The OP Units are held in a trust. Mr. McGraner is the trustee of the trust. Mr. McGraner disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. |
Remarks: Executive VP and Chief Investment Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McGraner Matt 300 CRESCENT COURT, SUITE 700 DALLAS, TX 75201 |
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| See Remarks |
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Signatures
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/s/ Lauren Thedford, as attorney-in-fact for Matt McGraner | | 5/29/2020 |
**Signature of Reporting Person | Date |
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