Matthew Goetz - May 8, 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
Stock symbol
NREF
Transactions as of
May 8, 2023
Transactions value $
-$55,929
Form type
4
Date filed
5/10/2023, 04:31 PM
Previous filing
Apr 6, 2023
Next filing
May 15, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NREF Common Stock Options Exercise +11.9K +14.65% 93.3K May 8, 2023 Direct F1
transaction NREF Common Stock Tax liability -$55.9K -4.15K -4.45% $13.48 89.2K May 8, 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 -11.9K -50% $0.00 11.9K May 8, 2023 Common Stock 11.9K 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