SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/04/2017 | 3. Issuer Name and Ticker or Trading Symbol KKR Real Estate Finance Trust Inc. [ KREF ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 5,626,470 | I | See Footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Represents shares of common stock held by TTG KREF SA HoldCo, LLC (498,643), TREA II AIV ERISA, LP (643,226), TREA II AIV NON-ERISA, LP (1,361,369), Lake Tahoe III, L.P. (2,500,732) and GPF Real Estate Co-Investment L.P. (622,500), which may be deemed to be indirectly beneficially owned by Townsend Holdings LLC as it exercises full investment discretion and voting control over all of the shares. Each Reporting Person disclaims beneficial ownership with respect to the shares directly beneficially owned by the other Reporting Persons, except to the extent of its pecuniary interest therein, if any. |
Townsend Holdings LLC By: /s/ Anthony Frammartino Name: Anthony Frammartino Title: Vice President | 07/16/2018 | |
TTG KREF SA HoldCo, LLC By: /s/ Anthony Frammartino Name: Anthony Frammartino Title: Vice President | 07/16/2018 | |
TREA II AIV ERISA, L.P. By: Townsend Alpha Manager II, LLC Its: General Partner By: /s/ Anthony Frammartino Name: Anthony Frammartino Title: Vice President | 07/16/2018 | |
TREA II AIV NON-ERISA, L.P. By: Townsend Alpha Manager II, LLC Its: General Partner By: /s/ Anthony Frammartino Name: Anthony Frammartino Title: Vice President | 07/16/2018 | |
Lake Tahoe III, L.P. By: Lake Tahoe III GP, LLC Its: General Partner By: /s/ Anthony Frammartino Name: Anthony Frammartino Title: Vice President | 07/16/2018 | |
GPF Real Estate Co-Investment L.P. By: Lake Erie Real Estate General Partner Limited Its: General Partner By: /s/ David Sauvarin Name: David Sauvarin Title: Director | 07/16/2018 | |
** 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 5 (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. |