0001649709-16-000003.txt : 20160217 0001649709-16-000003.hdr.sgml : 20160217 20160217210828 ACCESSION NUMBER: 0001649709-16-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151216 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CIFC Corp. CENTRAL INDEX KEY: 0001313918 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 202008622 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 BUSINESS PHONE: 212-624-1200 MAIL ADDRESS: STREET 1: 250 PARK AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 FORMER COMPANY: FORMER CONFORMED NAME: CIFC Deerfield Corp. DATE OF NAME CHANGE: 20110421 FORMER COMPANY: FORMER CONFORMED NAME: Deerfield Capital Corp. DATE OF NAME CHANGE: 20071226 FORMER COMPANY: FORMER CONFORMED NAME: Deerfield Triarc Capital Corp DATE OF NAME CHANGE: 20050110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH STEPHEN FRANKLIN CENTRAL INDEX KEY: 0001251110 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32551 FILM NUMBER: 161435836 MAIL ADDRESS: STREET 1: 6500 GREENVILLE AVE STREET 2: STE 600 CITY: DALLAS STATE: TX ZIP: 75206 4 1 wf-form4_145576129774420.xml FORM 4 X0306 4 2015-12-16 0 0001313918 CIFC Corp. CIFC 0001251110 SMITH STEPHEN FRANKLIN C/O CIFC CORP. 250 PARK AVE., 4TH FL. NEW YORK NY 10177 1 0 0 0 Restricted Stock Units 2015-12-16 4 A 0 5988 0 D Common Stock 0.0 5988 D Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock of the Issuer. All of the Restricted Stock Units shall become vested on the earlier of (a) the date on which the Issuer holds its 2016 Annual Meeting if the Participant has remained in continuous Service from the Grant Date through the Annual Meeting, (b) the date, within ninety (90) days after a Sale Event, on which no Director as of the Grant Date remains a member of the Board and (iii) July 1, 2016 (provided that the Participant has remained in continuous Service from the Grant Date through July 1, 2016). Capitalized terms used herein shall have the meanings assigned to them in the Award Agreement. /s/ Stephen Smith 2016-02-17