Statement of Changes in Beneficial Ownership (4)
December 04 2020 - 5:02PM
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
*
Natalone John |
2. Issuer Name and Ticker or Trading Symbol
ARBOR REALTY TRUST INC
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ABR
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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) EVP, Treasury and Servicing |
(Last)
(First)
(Middle)
C/O ARBOR REALTY TRUST, INC., 333 EARLE OVINGTON BLVD., SUITE 900 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/3/2020 |
(Street)
UNIONDALE, NY 11553
(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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Common Stock, par value $0.01 per share | 12/3/2020 | | D(1) | | 85000 | D | $13.30 (1) | 100000 (2) | I | By: The KFT 2018 NY Trust |
Common Stock, par value $0.01 per share | | | | | | | | 40000 (2) | I | By: The KFT DT LLC |
Common Stock, par value $0.01 per share | | | | | | | | 236782 | D | |
Special Voting Preferred Stock, par value $0.01 per share | 12/3/2020 | | D(1) | | 40599 | D | $13.30 (1) | 782496 (2) | I | By: The KFT 2018 NY Trust |
Special Voting Preferred Stock, par value $0.01 per share | | | | | | | | 3000000 (2) | I | By: The KFT DT LLC |
Special Voting Preferred Stock, par value $0.01 per share | | | | | | | | 36674 | D | |
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 |
Partnership Common Units | (3) | 12/3/2020 | | D (1) | | | 40599 | (3) | (3) | Common Stock, par value $0.01 per share | 40599 | $13.30 (1) | 782496 (2) | I | By: The KFT 2018 NY Trust |
Partnership Common Units | (3) | | | | | | | (3) | (3) | Not Applicable (3) | (3) | | 3000000 (2) | I | By: The KFT DT LLC |
Partnership Common Units | (3) | | | | | | | (3) | (3) | Not Applicable (3) | (3) | | 36674 | D | |
Explanation of Responses: |
(1) | As previously agreed to, Arbor Realty Trust, Inc. (the "Company") used a portion of the net proceeds received from its November 13, 2020 public offering of 7,000,000 shares of common stock (the "Offering") to purchase an aggregate of 125,599 shares of the Company's common stock and Partnership Common Units held by The KFT 2018 NY Trust for $13.30 per share, which is the same price at which the underwriters purchased the shares in the Offering. |
(2) | These estate planning vehicles were set up for the benefit of the immediate family of the Company's Chief Executive Officer, Ivan Kaufman. Mr. Natalone shares in the voting and investment power of these vehicles and disclaims beneficial ownership over these securities. |
(3) | Not applicable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Natalone John C/O ARBOR REALTY TRUST, INC. 333 EARLE OVINGTON BLVD., SUITE 900 UNIONDALE, NY 11553 |
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| EVP, Treasury and Servicing |
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Signatures
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/s/ John Bishar, Attorney-in-Fact for John Natalone | | 12/4/2020 |
**Signature of Reporting Person | Date |
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