-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q1JtgAZHYh0aQ+pp/l/Bph1jxB/L0pv+p2b6ONRI2yTzN8iEinwa+MHsoy7SYFxY aENgNvhwMlhY3WGiAOTXGQ== 0000893220-02-001116.txt : 20020911 0000893220-02-001116.hdr.sgml : 20020911 20020911134749 ACCESSION NUMBER: 0000893220-02-001116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020828 FILED AS OF DATE: 20020911 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SCHAEFFER SCOTT CENTRAL INDEX KEY: 0001168758 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O RAIT INVESTMENT TRUST STREET 2: 1818 MARKET STREET 28TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19103 BUSINESS PHONE: 2158617900 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RAIT INVESTMENT TRUST CENTRAL INDEX KEY: 0001045425 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 232919819 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14760 FILM NUMBER: 02761491 BUSINESS ADDRESS: STREET 1: 1818 MARKET ST STREET 2: 28TH FL CITY: PHILADELPHIA STATE: PA ZIP: 19103 BUSINESS PHONE: 2155465119 MAIL ADDRESS: STREET 1: 1521 LOCUST ST STREET 2: 6TH FL CITY: PHILADELPHIA STATE: PA ZIP: 19102 FORMER COMPANY: FORMER CONFORMED NAME: RESOURCE ASSET INVESTMENT TRUST DATE OF NAME CHANGE: 19970904 4 1 w63606e4.txt FORM 4 FOR SCOTT SCHAEFFER --------------------------- OMB APPROVAL --------------------------- - ------ OMB Number: 3235-0287 FORM 4 Expires: January 31, 2005 - ------ Estimated average burden hours per response .... 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(h) of the Investment Company Instruction 1(b). Act of 1940 (Print or Type Response) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Schaeffer Scott F. RAIT Investment Trust ("RAS") to Issuer (Check all applicable) - --------------------------------------------------------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- --- c/o Rait Investment Trust Number of Reporting Month/Day/Year X Officer (give Other (Specify 1818 Market St., 28th Fl Person, if an entity 9/9/02 ---- title --- below) - --------------------------------------------- (Voluntary) ------------------- below) (Street) 5. If Amendment, Date of Original President & COO Philadelphia PA 19103 (Month/Year) ------------------------ - --------------------------------------------- 7. Individual or Joint/Group Filing (City) (State) (Zip) (Check Applicable Line) X Form filed by One Reporting --- Person Form filed by More than One --- Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ Table 1 -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 2A. Deemed 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action Execution tion or Disposed of (D) curities Benefi- ship of In- Date Date, if Code (Instr. 3, 4 and 5) cially Owned Form: direct any (Instr. 8) Following Direct Benefi- (Month/ Reported (D) or cial Day/ --------------------------------------- Transaction Indirect Owner- Year) Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Shares 9/9/02 M 37,500 A $11.65 50,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Shares 1,582(1) I By 401(k) Plan - ------------------------------------------------------------------------------------------------------------------------------------ Common Shares 3,000 I Held in IRA - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 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). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED (Over) IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS SEC 1474 (7-02) A CURRENTLY VALID OMB CONTROL NUMBER.
FORM 4 (Continued) TABLE II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 3A. Deemed 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount Security sion or action Transaction action Derivative cisable and of Underlying (Instr. 3) Exercise Date Date, if Code Securities Ac- Expiration Securities Price of (Month/ any (Instr. 8) quired (A) or Date (Instr. 3 and 4) Deriv- Day/ (Month/Day/ Disposed of (D) (Month/Day/ ative Year) Year) (Instr. 3, 4, Year) Security and 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option $11.65 9/9/02 M 37,500 (2) 11/1/10 Common 37,500 (Right to Buy) Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------- 8. Price 9. Number of 10. Ownership 11. Nature of of Derivative Form of Indirect Deriv- Securities Derivative Beneficial ative Beneficially Security: Ownership Secur- Owned Following Direct (D) (Instr. 4) ity Reported or Indirect (I) (Instr. 5) Transaction(s) (Instr. 4) (Intr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ 37,500 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Based on the most recent plan statement available (2) Options exercisable for 75,000 common shares were granted on 11/1/00. These options vest as follows: 37,500 on 11/1/00 and 18,750 on each of 11/1/02 and 11/1/03. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Scott F. Schaeffer 9/11/02 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2
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