Anthony Cappell - Dec 7, 2021 Form 4 Insider Report for Chicago Atlantic Real Estate Finance, Inc. (REFI)

Role
Chief Executive Officer, Director
Signature
/s/ Anthony Cappell
Stock symbol
REFI
Transactions as of
Dec 7, 2021
Transactions value $
$2,500,000
Form type
4
Date filed
12/10/2021, 07:46 PM
Next filing
Jun 28, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction REFI Common Stock Purchase $2.5M +156K $16.00 156K Dec 7, 2021 Direct F1, F4
holding REFI Common Stock 6.75K Dec 7, 2021 Held through ownership of interests in Chicago Atlantic Fund, LLC F2, F4
holding REFI Common Stock 6.62K Dec 7, 2021 Held through ownership of interests in Chicago Atlantic Fund QP, LLC F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On December 7, 2021, Mr. Cappell purchased 156,250 shares in a private placement offering concurrent with Chicago Atlantic Real Estate Finance, Inc.'s initial public offering.
F2 Included in the 6,745 shares are 1,775 shares held directly, and 4,970 shares held through Mr. Cappell's interest in Chicago Atlantic Management, LLC, the managing member of Chicago Atlantic Fund, LLC
F3 Included in the 6,622 shares are 4,677 shares held directly, and 1,945 shares held through Mr. Cappell's interest in Chicago Atlantic Management, LLC, the managing member of Chicago Atlantic QP Fund, LLC.
F4 All of the shares held by Mr. Cappell are subject to a 180-day lockup that ends on June 5, 2022.