As filed with the Securities and Exchange Commission on January 18, 2022

 

SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549

 

Form 8-A

 

For Registration of Certain Classes of Securities

 

Pursuant to Section 12(b) or (g) of the

 

Securities Exchange Act of 1934

 

Lument Finance Trust, Inc.

(Exact name of registrant as specified in its charter)

 

Maryland   45-4966519
(State of incorporation of organization) (IRS Employer Identification No.)

 

230 Park Avenue, 20th Floor

New York, NY

  10169
(Address of principal executive offices)   (Zip Code)

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box. x   If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box. o

 

Securities Act registration statement file number to which this Form relates:    

333-258134

(If applicable)

 

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class to be registered

 

Name of Exchange on which class is to be registered

Rights to purchase Common Stock, par value $0.01 per share   The New York Stock Exchange

 

Securities to be registered pursuant to Section 12(g) of the Act:

 

None.

 

 

 

 

  

Item 1. Description of Registrant’s Securities to be Registered

  

A description of the rights to purchase common stock, par value $0.01 per share (the “Rights”), to be registered hereunder is contained in the section entitled “The Offering — Terms of the Offering” in the prospectus supplement filed by Lument Finance Trust, Inc. (the “Company”) pursuant to Rule 424(b) under the Securities Act of 1933, as amended, with the Securities and Exchange Commission on January 7, 2022, including all amendments thereto, and is incorporated herein by reference.

 

Item 2. Exhibits

 

Exhibit

Number

  Exhibit Description
3.1   Amended and Restated Articles of Incorporation of Lument Finance Trust, Inc., together with all amendments and supplements thereto (incorporated by reference to Exhibit 3.1 to Lument Finance Trust, Inc. Quarterly Report on Form 10-Q (File No. 001-35845), which was filed with the Securities and Exchange Commission on May 11, 2021).
     
3.2   Bylaws of Lument Finance Trust, Inc. (incorporated by reference to Exhibit 3.1 to Lument Finance Trust, Inc. Current Report on Form 8-K (File No. 001-35845), which was filed with the Securities and Exchange Commission on June 17, 2021).
     
4.1   Form of Subscription Rights Certificate.

   

 

 

 

SIGNATURE

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.

 

Date: January 18, 2022 LUMENT FINANCE TRUST, INC.
   
  By:  /s/ James A. Briggs
  Name:  James A. Briggs
  Title: Chief Financial Officer

 

 

 

 

 

 

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