Statement of Changes in Beneficial Ownership (4)
05 Agosto 2021 - 12:32AM
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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OMB APPROVAL
OMB Number:
3235-0287
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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
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Schaub Russell |
2. Issuer Name and Ticker or Trading Symbol
Great Ajax Corp.
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AJX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
PRESIDENT |
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(Last)
(First)
(Middle)
13190 SW 68TH PARKWAY, SUITE 110 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2021 |
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(Street)
TIGARD, OR 97223
(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 | 8/2/2021 | | A | | 8000 (1) | A | $12.79 | 119660.423 (2) | D | |
| Common Stock, par value $0.01 per share | | | | | | | | 3039 (3) | I | Shackleton RBS 3 LLC |
| Common Stock, par value $0.01 per share | | | | | | | | 107.625 (4) | I | By wife |
| Common Stock, par value $0.01 per share | 6/9/2021 | | A | | 70 (5) | A | $13.07 | 1252.475 (4) | I | By son |
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) | Granted pursuant to the shareholder approved 2016 Equity Incentive Plan, which will vest in four equal installments annually starting August 1, 2022. |
| (2) | Includes the following shares acquired under the Issuer's Dividend Reinvestment Plan: 1,801.346 shares acquired on August 31, 2020; 1,677.162 shares acquired on November 30, 2020; 1,531.028 shares acquired on March 31, 2021; and 1,539.696 shares acquired on May 31, 2021. |
| (3) | Securities received pursuant to a distribution made by Aspen Yo to its limited partners. |
| (4) | Includes the following shares acquired under the Issuer's Dividend Reinvestment Plan: 1.867 shares acquired on August 31, 2020; 1.738 shares acquired on November 30, 2020; 1.587 shares acquired on March 31, 2021; and 1.596 shares acquired on May 31, 2021. |
| (5) | Granted pursuant to the Issuer's equity compensation policy for new employees. Inadvertently missed timely filing on Form 4. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Schaub Russell
13190 SW 68TH PARKWAY
SUITE 110
TIGARD, OR 97223 | X |
| PRESIDENT |
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Signatures
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| /s/ Russell Schaub | | 8/4/2021 |
| **Signature of Reporting Person | Date |
Grafico Azioni Great Ajax (NYSE:AJX)
Storico
Da Mar 2024 a Apr 2024
Grafico Azioni Great Ajax (NYSE:AJX)
Storico
Da Apr 2023 a Apr 2024
