Filing Details
- Accession Number:
- 0001209191-14-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-02 09:13:18
- Reporting Period:
- 2013-12-31
- Filing Date:
- 2014-01-02
- Accepted Time:
- 2014-01-02 09:13:18
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1313918 | Cifc Corp. | CIFC | Finance Services (6199) | 202008622 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1493439 | Bounty Investments, Llc | C/O Renova U.s. Management Llc 900 Third Avenue, 19Th Floor New York NY 10022 | No | No | Yes | No | |
1494506 | Ltd Services Columbus Tz | Pasea Estate, P.o. Box 958 Road Town, Tortola, D8 00000 | No | No | Yes | No | |
1494507 | Trust Mayflower | Morgan &Amp; Morgan Building Pasea Estate Road Town, Tortola, D8 00000 | No | No | Yes | No | |
1494509 | Ltd. Overseas Maria Santa | 2Nd Terrace West Centreville, Nassau C5 00000 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-12-31 | 1,000,000 | $9.00 | 13,658,586 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2013-12-31 | 2,000,000 | $2.63 | 2,000,000 | $6.38 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,000,000 | 2013-12-31 | 2014-09-24 | No | 4 | P | Indirect |
Footnotes
- The securities reported on this Form 4 report are directly held by DFR Holdings, LLC (?DFR Holdings?). Bounty Investments, LLC (?Bounty?) has 99% of the percentage interest in DFR Holdings. Santa Maria Overseas Ltd., a Bahamanian company ("Santa Maria"), owns 80% of the equity interests of Bounty. Mayflower Trust, a Cayman Islands trust ("Mayflower") owns 100% of the equity interests of Santa Maria. TZ Columbus Services Limited, a British Virgin Islands corporation ("TZ"), is the trustee of Mayflower. Each reporting entity disclaims beneficial ownership of the reported securities except to the extent of such entity?s pecuniary interest in them.