-----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, VUuKIlWKy2MFi5eMoYnO5mNSVzQz3FKlmwl0DvD1OzdbCsy8v2dbTmgu3dJOEf1t 1XJv7gvtquYLPh/SCh0p+g== 0000950116-02-000710.txt : 20020416 0000950116-02-000710.hdr.sgml : 20020416 ACCESSION NUMBER: 0000950116-02-000710 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020410 FILED AS OF DATE: 20020411 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: 02608572 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 COMPANY DATA: COMPANY CONFORMED NAME: COHEN JONATHAN Z CENTRAL INDEX KEY: 0001168756 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 4 1 form4.txt 4 FORM 4 [ ] Check this box if no ------------------------------------ longer subject to OMB APPROVAL Section 16, Form 4 or ------------------------------------ Form 5 obligations may OMB Number 3235-0287 continue. See Instruction 1(b) Expires: January 31, 2005 Estimated average burden hours per response .............0.5 ------------------------------------ U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person Cohen Jonathan Z -------------------------------------------------------------------- (Last) (First) (MI) 27 North Moore St. Apt. 5C -------------------------------------------------------------------- (Street) New York NY 10013 -------------------------------------------------------------------- (City) (State) (Zip) - ------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol RAIT Investment Trust ("RAS") - ------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - ------------------------------------------------------------------------------- 4. Statement for Month/Year | 5. If Amendment, Date of | Original (Month/Year) 3/02 | - ------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ X ] Officer [ X ] Other (specify below) (give title below) Trustee & Secretary - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - -------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security | 2. Transaction Date | 3. Transaction Code | 4. Security Acquired (A) or Disposed (Instr. 3) | (Month/Day/Year) | (Instr. 8) | of (D) (Instr. 3, 4 & 5) | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | Code | V | Amount | (A) or| Price | | | | | (D) | - ----------------------------------------------------------------------------------------------------------------------------------- Common Shares | 3-19-02 | F | | 6,587 | D | $20.15 - ----------------------------------------------------------------------------------------------------------------------------------- Common Shares | 3-19-02 | J(1) | | 10,000 | A | $10.75 - ----------------------------------------------------------------------------------------------------------------------------------- Common Shares | 3-21-02 | J(1) | | 4,000 | A | $16.92 - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | ===================================================================================================================================
- --------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security | 5. Amount of Securities | 6. Ownership Form: | 7. Nature of Indirect Beneficial (Instr. 3) | Beneficially Owned at | Direct (D) or | Ownership (Instr. 4) | End of Month | Indirect (I) | | (Instr. 3 & 4) | (Instr. 4) | - --------------------------------------------------------------------------------------------------------------------------------- Common Shares | 26,383 | D | - --------------------------------------------------------------------------------------------------------------------------------- Common Shares | 26,383 | D | - --------------------------------------------------------------------------------------------------------------------------------- Common Shares | 26,383 | D | - --------------------------------------------------------------------------------------------------------------------------------- | | | - --------------------------------------------------------------------------------------------------------------------------------- | | | - --------------------------------------------------------------------------------------------------------------------------------- | | | - --------------------------------------------------------------------------------------------------------------------------------- | | | =================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) SEC 1474 (3/91) 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 Security | 2. Conversion or | 3. Transaction Date | 4. Transaction | 5. Number of Derivative (Instr. 3) | Exercise Price of | (Month/Day/Year) | Code (Instr.| Securities Acquired | Derivative Security | | 8) | (A) or Disposed of | | | | (D) (Instr. 3, 4 & 5) - ----------------------------------------------------------------------------------------------------------------------------------- | | | Code | V | (A) | (D) - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase common shares | $10.75 | 3-19-02 | M | | | 10,000 - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase common shares | $16.92 | 3-21-02 | M | | | 4,000 - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | | ===================================================================================================================================
- ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security | 6. Date Exercisable and | 7. Title and Amount of Underlying | 8. Price of Derivative (Instr. 3) | Expiration Date | Securities (Instr. 3 & 4) | Security (Instr. 5) | (Month/Day/Year) | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | Date | Expiration | Title | Amount or Number | | Exercisable | Date | | of Shares | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase common shares | 11-9-00 | 11-9-09 | Common Shares | 10,000 | $10.75 - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase common shares | 2-1-02(2) | 2-1-12 | Common Shares | 4,000 | $16.92 - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | | ===================================================================================================================================
- ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security | 9. Number of Derivative | 10. Ownership Form of Derivative | 11. Nature of Indirect (Instr. 3) | Securities Beneficially | Security: Direct (D) or | Beneficial Ownership | Owned at End of Month | Indirect (1) (Instr. 4) | (Instr. 4) | (Instr. 4) | | - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase common shares | 500 | D | - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase common shares | 500 | D | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | ===================================================================================================================================
Explanation of Responses: (1) Receipt of shares acquired upon exercise of option as reported herein. (2) Pursuant to the early exercise feature of the issuer's stock option plan, options may be exercised immediately after grant. Early exercised shares are restricted, they received distributions and may be voted but they are disposable only in accordance with the vesting schedule. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Jonathan Cohen 4-10-02 - ------------------------------------ ------------------- Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (3/91) -----END PRIVACY-ENHANCED MESSAGE-----