AI assistant
Creative Media & Community Trust Corporation — Director's Dealing 2020
Apr 15, 2020
6737_rns_2020-04-15_47d7c7d4-f6da-4b2b-9745-6b32dcdb1ed4.pdf
Director's Dealing
Open in viewerOpens in your device viewer
Instruction
(Print or Type Responses)
See
Check this box if no longer
subject to Section 16. Form 4 or
1(b).
Form 5 obligations may continue.
| U N I T E D S T A T E S S E C U R I T I E S A N D E X C H A N G E C O M M I S S I O N |
|---|
| in C. 2 0 4 9 W h D. 5 to as g n, |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| d d dre f R 1. Na A ort me an ss o ep |
2. Iss Na d T ic ke Tr d ing Sy bo l ue r me an r or a m |
5. Re lat ion h ip f R ing Pe (s ) Iss ort to s o ep rso n ue r |
||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| ( C he k a l l a l ica b le ) c pp D ire 10 % Ow cto r ne r |
||||||||||||
| ( ) ( La F st |
3. Da f Ea l ies Tr ion ( M h /D /Y ) te t t t o r an sac on ay ear |
O f f ice (g ive Ot he (sp i fy r r ec it le be low ) be low ) t |
||||||||||
| ( Str |
f A 4. I me n |
dm Da t, en |
ig Or te |
ina l F i le |
d ( h /D M t on ay |
d 6. In |
iv i du l int / i l ing Jo Gr F a or ou p (Ch eck App lica ble Lin e) m f iled by rtin For On e R Per epo g son For m f iled by M tha n O Rep orti Per ore ne son |
|||||
| ( C ity ) |
( Sta ) te |
( ip ) Z |
ng Ta ble I No n-D iva ive Se rit ies A ire d, Di ed f, o r B fic ial ly Ow d t er cu cq u sp os o en e ne -- |
|||||||||
| 1. T it le f Se ity o cu r ( Ins 3 ) tr. |
2. Tr an s ion act Da te |
2A De d em e ion Ex t ecu i f Da te, an y |
3. Tr act Co ( Ins |
an s ion de ) 8 tr. |
4. Se it ies cu r D isp or os ( 3, 4 Ins tr. |
Ac ire d ( A qu d f ( D ) e o d ) 5 an |
) | 5. Am f nt ou o Se it ies cu r f ic ia l ly Be ne d Ow ne l low ing Fo |
7. Na f tur e o In d ire ct f ic ia l Be ne Ow ne r h ip s |
|||
| ( M h / t on / D ay ) Y ear |
( M h / t on / D ay ) Y ear |
de Co |
V | Am nt ou |
( A ) or ( ) D |
ice Pr |
Re d rte po Tr ion (s ) t an sac ( d ) Ins 3 4 tr. an |
In d ire ct ( I ) ( ) Ins 4 tr. |
( ) Ins 4 tr. |
|||
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
OMB APPROVA
January 31, 2008
average
3235-0287
burden
. . . . 0.5
OMB Number:
hours per response.
Expires:
Estimated #### Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. | T it le f De iva ive t o r Se ity cu r ( 3 ) Ins tr. |
2. Co nv er ion s or ise Ex erc ice f Pr o i De r ive t va Se ity cu r |
3. Tr an s ion act Da te ( h / M t on D / ay Y ear |
3 A. De d em e Ex ec ion ut i f Da te, an y ( h / M t on / D ay ) Y ear |
4. Tr an act Co ( Ins |
s ion de ) 8 tr. |
5. Nu be m r ive Se at ire d ( A qu d f po se o ( Ins 3, tr. |
f De iv o r it ies Ac cu r ) is D or ( ) D d ) 4, 5 an |
6. Da te isa b c Ex p Da te ( M on Ye ar |
Ex er le d an ira ion t h /D / t ay ) |
7. T it le d Am f nt an ou o Un de ly ing Se it ies r cu r ( 3 d 4 ) Ins tr. an |
8. Pr ice 9. f Nu be o m r iv f de iv De r o r s ive ive at at Se Se cu r cu r ity it ies at ( Ins Be tr. ne ) f ic ia l ly 5 D d ( Ow ne l low Fo |
10 Ow ne r h ip f Fo rm o iv De r ive Se ity cu r : ire ct ) o D r d ire In ct |
11 Na tur e f o d ire In ct f i Be ne ia l c Ow h ip ne rs ( 4 ) Ins tr. |
||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Co de |
V | ( A ) |
( ) D |
Da te Ex er isa b le c |
ira Ex p ion t Da te |
it le T |
Am nt ou or be f Nu m r o ha S res |
ing Re d rte po Tr an s ion (s ) act ( ) Ins 4 tr. |
( I ) ( Ins 4 ) tr. |
|||||||
FORM 4 (continued)
Reporting Owners
| O / Ad Re t Na dr |
ion ip Re lat sh s |
||||||
|---|---|---|---|---|---|---|---|
| ing p or wn er me ess |
D ire cto r |
10 % Ow ne r |
O f f ice r |
Ot he r |
|||
| / David Thompson, attornev in fact | |
|---|---|
| Signature | Date |
EXPLANATION OF RESPONSES
* If the form is filed by more than one reporting person, see Instructions 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) CIM Capital, LLC ("CIM Capital"), a wholly owned subsidiary of CIM Group, LLC , received 203,349 shares of common stock from the Issuer as payment for the obligation of CIM Urban Partners, L.P. ("CIM Urban"), a wholly-owned indirect subsidiary of the Issuer, to pay CIM Capital a management fee in respect of the first fiscal quarter of 2020 pursuant to the investment management agreement between CIM Capital and CIM Urban.
(2) All share amounts give effect to the 3-for-1 reverse stock split of the common stock of the Issuer on September 3, 2019.
(3) These shares are owned directly by CIM Service Provider, LLC, CIM Urban Sponsor, LLC and CIM Capital, LLC. CIM Group, LLC is the sole equity member of each of CIM Service Provider, LLC, CIM Urban Sponsor, LLC and CIM Capital, LLC. The reporting person, Avraham Shemesh and Richard Ressler may be deemed to beneficially own all of these shares because of their positions with CIM Group, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
(4) Includes 2,468,390 shares of common stock of the Issuer acquired by CIM Service Provider, LLC at a price of \$19.1685 per share on October 11, 2019 and not previously reported by the reporting person on Form 4, and does not include 13,719,185 shares of common stock previously held by Urban Partners II, LLC (an entity for which the Reporting Person was a controlling person) included in the Reporting Person's prior Form 4 in which he had no pecuniary interest.
(5) Shares held by The Kuba Family Trust of which the reporting person was the grantor and the indirect beneficial owner.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.