Statement of Changes in Beneficial Ownership (4)
December 18 2020 - 5:59PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Smith Peter A. |
2. Issuer Name and Ticker or Trading Symbol
TPG RE Finance Trust, Inc.
[
TRTX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President |
(Last)
(First)
(Middle)
C/O TPG RE FINANCE TRUST, INC., 888 SEVENTH AVENUE, 35TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/30/2020 |
(Street)
NEW YORK, NY 10106
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 6/30/2020 | | F | | 10576 | D | $8.51 | 116834 | D | |
Common Stock | 10/28/2020 | | J(1) | | 737 | D | $8.25 | 118026 | D | |
Common Stock (2) | 12/17/2020 | | A | | 43859 | A | $0.00 | 161885 | D | |
Common Stock | | | | | | | | 1929 | I | See Explanation of Responses (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | On October 28, 2020, TPG RE Finance Trust Management, L.P. (the "Manager"), the external manager of TPG RE Finance Trust, Inc. (the "Issuer"), withheld 737 shares of Common Stock of the Issuer from Mr. Peter A. Smith for payment of the tax liability incident to the vesting of shares of Common Stock granted by the Manager pursuant to the terms of a compensatory plan adopted by the Manager. |
(2) | The shares of Common Stock awarded to Mr. Smith will vest ratably in four annual installments beginning on June 30, 2021. |
(3) | Represents shares of Common Stock that have been awarded by the Manager to Mr. Smith in accordance with the terms of a compensatory plan adopted by the Manager. Upon vesting, the shares of Common Stock will be delivered to Mr. Smith. |
Remarks: (4) Matthew Coleman is signing on behalf of Mr. Smith pursuant to the power of attorney dated July 5, 2017, which was previously filed with the Securities and Exchange Commission. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Smith Peter A. C/O TPG RE FINANCE TRUST, INC. 888 SEVENTH AVENUE, 35TH FLOOR NEW YORK, NY 10106 |
|
| Vice President |
|
Signatures
|
/s/ Peter A. Smith, **By: Matthew Coleman, on behalf of Peter A. Smith (4) | | 12/18/2020 |
**Signature of Reporting Person | Date |
TPG Real Estate Finance (NYSE:TRTX)
Historical Stock Chart
From Mar 2024 to Apr 2024
TPG Real Estate Finance (NYSE:TRTX)
Historical Stock Chart
From Apr 2023 to Apr 2024