Form 4 Lument Finance Trust, For: May 23 Filed by: HOULIHAN WILLIAM A
May 24, 2021 4:41 PM EDT
| FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934
or Section 30(h) of the Investment Company Act of
1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
|
1. Name and Address of Reporting Person
*
| C/O FIVE OAKS INVESTMENT CORP. |
| 230 PARK AVENUE, 19TH FLOOR |
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
Lument Finance Trust, Inc.
[
LFT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
|
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
3. Date of Earliest Transaction
(Month/Day/Year)
05/23/2021
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
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.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction 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
|
05/23/2021 |
|
P |
|
2,000
|
A
|
$
3.68
|
70,793
|
D
|
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction 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
(Month/Day/Year) |
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: 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: |
|
/s/ Michele Halickman attorney-in-fact |
05/24/2021 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
FOR SEC FILINGS ON FORMS ID, 3, 4, 5, 144, SCHEDULES 13D and 13G
IN RESPECT OF SECURITIES OF
HUNT COMPANIES FINANCE TRUST, INC.
The undersigned hereby constitutes and appoints Michele Halickman as his
true and lawful attorney-in-fact and agent, with full power of
substitution and resubstitution for him in his name and stead in any and
all capacities, to sign and file for and on his behalf, in respect of any
acquisition, disposition or other change in ownership of any Common Stock
or derivative securities thereof of Hunt Companies Finance Trust, Inc.
(the "Company"), the following:
(i) any Form ID to be filed with the Securities and Exchange
Commission (the "SEC");
(ii) any Initial Statement of Beneficial Ownership of Securities on
Form 3 to be filed with the SEC;
(iii) any Statement of Changes of Beneficial Ownership of Securities
on Form 4 to be filed with the SEC;
(iv) any Annual Statement of Beneficial Ownership of Securities on
Form 5 to be filed with the SEC;
(v) any Notice of Proposed Sale of Securities on Form 144 to be filed
with the SEC
(vi) and any other forms or reports the undersigned may be required to
file in connection with the undersigned's ownership, acquisition or
disposition of securities of the Company, including Schedules 13G and
13D; and
(vii) any and all agreements, certificates, receipts, or other
documents in connection therewith. The undersigned hereby gives full
power and authority to the attorney-in-fact to seek and obtain as the
undersigned's representative and on the undersigned's behalf, information
on transactions in the Company's securities from any third party,
including brokers, employee benefit plan administrators and trustees, and
the undersigned hereby authorizes any such person to release such
information to the undersigned and approves and ratifies any such release
of information. The undersigned hereby grants unto such attorney-in-fact
and agent full power and authority to do and perform each and every act
and thing requisite and necessary in connection with such matters and
hereby ratifies and confirms all that any such attorney-in-fact and agent
or substitute may do or cause to be done by virtue hereof. The
undersigned acknowledges that:
(i) neither the Company nor such attorney-in-fact assumes (i) any
liability for the undersigned's responsibility to comply with the
requirement of the Securities Exchange Act of 1934, as amended (the
"Exchange Act"), (ii) any liability of the undersigned for any failure to
comply with such requirements or (iii) any obligation or liability of the
undersigned for profit disgorgement under Section 16(b) of the Exchange
Act; and
(ii) this Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under
the Exchange Act, including without limitation the reporting requirements
under Section 16 of the Exchange Act. This Power of Attorney shall remain
in full force and effect until revoked by the undersigned in a signed
writing delivered to such attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney.
Date: March 17, 2020
/s/ William A. Houlihan
_______________________
William A. Houlihan
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