Matthew Goetz - 08 May 2023 Form 4 Insider Report for NexPoint Real Estate Finance, Inc. (NREF)

Role
Senior VP-Investments and Asset Management
Signature
/s/ Brian Mitts, as attorney-in-fact for Matthew Goetz
Issuer symbol
NREF
Transactions as of
08 May 2023
Net transactions value
-$55,929
Form type
4
Filing time
10 May 2023, 16:31:19 UTC
Previous filing
06 Apr 2023
Next filing
15 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NREF Common Stock Options Exercise +11,922 +15% 93,313 08 May 2023 Direct F1
transaction NREF Common Stock Tax liability $55,929 -4,149 -4.4% $13.48 89,164 08 May 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NREF Restricted Stock Units Options Exercise $0 -11,922 -50% $0.000000 11,921 08 May 2023 Common Stock 11,922 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one share of common stock of NexPoint Real Estate Finance, Inc.
F2 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, one-fourth on May 8, 2022, and one-fourth on May 8, 2023, and will vest 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.

Remarks:

Senior VP-Investments and Asset Management