0001437749-21-026503.txt : 20211112
0001437749-21-026503.hdr.sgml : 20211112
20211112163102
ACCESSION NUMBER: 0001437749-21-026503
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210908
FILED AS OF DATE: 20211112
DATE AS OF CHANGE: 20211112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DONDERO JAMES D
CENTRAL INDEX KEY: 0001228922
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39210
FILM NUMBER: 211404076
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NexPoint Real Estate Finance, Inc.
CENTRAL INDEX KEY: 0001786248
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
IRS NUMBER: 842178264
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-276-6300
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
4
1
rdgdoc.xml
FORM 4
X0306
4
2021-09-08
0001786248
NexPoint Real Estate Finance, Inc.
NREF
0001228922
DONDERO JAMES D
300 CRESCENT COURT, SUITE 700
DALLAS
TX
75201
1
1
1
President
OP Units
2021-09-08
5
J
0
3247509.69
0
D
Common Stock
3247509.69
0
I
See Footnote
OP Units
2021-09-08
5
J
0
395033.86
0
D
Common Stock
395033.86
0
I
See Footnote
Class B OP Units
2021-09-08
5
J
0
3247509.69
0
A
Common Stock
3247509.69
3247509.69
I
See Footnote
Class C OP Units
2021-09-08
5
J
0
395033.86
0
A
Common Stock
395033.86
395033.86
I
See Footnote
Represents common units of limited partnership interest ("OP Units") in NexPoint Real Estate Finance Operating Partnership, L.P., the operating partnership (the "OP") of NexPoint Real Estate Finance, Inc. (the "Issuer").
The OP Units are redeemable, subject to certain requirements, for cash or, at the election of the Issuer, for shares of the Issuer's common stock on a one-for-one basis. The OP Units were vested as of the date of issuance and have no expiration date.
Pursuant to a reclassification exempt under Rule 16b-7 promulgated under the Securities Exchange Act of 1934, each OP Unit reported herein was reclassified into a new Class B OP Unit or Class C OP Unit.
These OP Units are held by NexPoint Advisors, L.P. ("NP") indirectly through advised accounts. Mr. Dondero is the sole member of NP's general partner, and may be deemed to be an indirect beneficial owner of securities held by NP. Mr. Dondero disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
These securities are held by a trust, of which Mr. Dondero is the beneficiary. Mr. Dondero disclaims beneficial ownership of such securities.
/s/ Brian Mitts, as attorney-in-fact for James Dondero
2021-11-12