0001437749-21-015835.txt : 20210628 0001437749-21-015835.hdr.sgml : 20210628 20210628180108 ACCESSION NUMBER: 0001437749-21-015835 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210624 FILED AS OF DATE: 20210628 DATE AS OF CHANGE: 20210628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goetz Matthew CENTRAL INDEX KEY: 0001636204 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39210 FILM NUMBER: 211054844 MAIL ADDRESS: STREET 1: 2515 MCKINNEY AVENUE STREET 2: SUITE 1100 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: 2515 MCKINNEY AVENUE, SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 833-463-6697 MAIL ADDRESS: STREET 1: 2515 MCKINNEY AVENUE, SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75201 4 1 rdgdoc.xml FORM 4 X0306 4 2021-06-24 0001786248 NexPoint Real Estate Finance, Inc. NREF 0001636204 Goetz Matthew 2515 MCKINNEY AVENUE, SUITE 1100 DALLAS TX 75201 1 See Remarks Common Stock 2021-06-24 4 M 0 11922 A 48474 D Common Stock 2021-06-24 4 F 0 3544 20.73 D 44930 D Common Stock 65700 I See Footnote Restricted Stock Units 2021-06-24 4 M 0 11922 0 D Common Stock 11922 35765 D Each restricted stock unit represents a contingent right to receive one share of common stock of NexPoint Real Estate Finance, Inc. These shares are held by NexPoint Real Estate Strategies Fund ("NRESF"). These shares were previously reported in error, as Mr. Goetz does not have voting or investment control over shares held by NRESF. Consequently, Mr. Goetz will no longer report beneficial ownership of shares held by NRESF on a going forward basis. On June 24, 2020, the reporting person was granted 47,687 restricted stock units. The restricted stock units vested one-fourth on June 24, 2021, and will vest one-fourth on May 8, 2022, one-fourth on May 8, 2023 and one-fourth on May 8, 2024. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash. Senior VP-Investments and Asset Management /s/ Brian Mitts, as attorney-in-fact for Matt Goetz 2021-06-28