0001104659-16-156263.txt : 20161110 0001104659-16-156263.hdr.sgml : 20161110 20161110163655 ACCESSION NUMBER: 0001104659-16-156263 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161031 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sutherland Asset Management Corp CENTRAL INDEX KEY: 0001527590 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 900729143 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1140 AVENUE OF THE AMERICAS, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-257-4600 MAIL ADDRESS: STREET 1: 1140 AVENUE OF THE AMERICAS, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: ZAIS Financial Corp. DATE OF NAME CHANGE: 20110808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sutherland REIT Holdings, LP CENTRAL INDEX KEY: 0001611235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35808 FILM NUMBER: 161988586 BUSINESS ADDRESS: STREET 1: 1140 AVENUE OF THE AMERICAS, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-257-4600 MAIL ADDRESS: STREET 1: 1140 AVENUE OF THE AMERICAS, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 3 1 a3.xml 3 X0206 3 2016-10-31 0 0001527590 Sutherland Asset Management Corp SLD 0001611235 Sutherland REIT Holdings, LP C/O SUTHERLAND ASSET MANAGEMENT CORP., 1140 AVENUE OF THE AMERICAS, 7TH FLOOR NEW YORK NY 10036 0 0 1 0 Common Stock 13733959 D Waterfall Management, LLC, an affiliate of the Issuer's external manager, serves as the general partner of the Reporting Person and may be deemed to be the beneficial owner of the shares of common stock of the Issuer that are held by the Reporting Person. However, Waterfall Management, LLC does not have an economic interest in these shares and expects to distribute such shares to the beneficial owners of the Reporting Person upon their request in accordance with the Reporting Person's partnership agreement. Accordingly, Waterfall Management, LLC disclaims beneficial ownership of the shares of common stock held by the Reporting Person. In addition, each of Thomas Capasse, Jack Ross, Frederick Herbst and Thomas Buttacavoli is a principal or manager director of Waterfall Asset Management, LLC, the Issuer's external manager, and may be deemed to share voting and investment power over the shares of common stock of the Issuer held by the Reporting Person. Each of such individuals disclaims beneficial ownership of such shares of common stock, except to the extent of his economic interest therein. The inclusion of these shares of common stock of the Issuer in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. By: /s/ Thomas Capasse, Member 2016-11-10