Statement of Changes in Beneficial Ownership (4)
05 December 2020 - 9:01AM
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
*
KAUFMAN IVAN |
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)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) COB, CEO and President |
(Last)
(First)
(Middle)
C/O ARBOR REALTY TRUST, INC., 333 EARLE OVINGTON BLVD., STE. 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) | | 203930 | D | $13.30 (1) | 953063 | D | |
Common Stock, par value $0.01 per share | 12/3/2020 | | D(1) | | 370471 | D | $13.30 (1) | 3528083 (2) | I | By Arbor Commercial Mortgage, LLC |
Common Stock, par value $0.01 per share | | | | | | | | 3632 | I | By son, Maurice Kaufman |
Common Stock, par value $0.01 per share | | | | | | | | 1632 | I | By son, Adam Kaufman |
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 |
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 574,401 shares of the Company's common stock held by Mr. Kaufman and Arbor Commercial Mortgage, LLC for $13.30 per share, which is the same price at which the underwriters purchased the shares in the Offering. |
(2) | Mr. Kaufman disclaims beneficial ownership of these shares of Common Stock except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KAUFMAN IVAN C/O ARBOR REALTY TRUST, INC. 333 EARLE OVINGTON BLVD., STE. 900 UNIONDALE, NY 11553 | X | X | COB, CEO and President |
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Signatures
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/s/ Ivan Kaufman | | 12/4/2020 |
**Signature of Reporting Person | Date |
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