10/04/2022 | Press release | Distributed by Public on 10/04/2022 19:21
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Title of Derivate Security | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHORSCH NICHOLAS S C/O BELLEVUE CAPITAL PARTNERS, LLC 222 BELLEVUE AVENUE NEWPORT, RI02840 |
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X |
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Bellevue Capital Partners, LLC 222 BELLEVUE AVENUE NEWPORT, RI02840 |
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X |
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AR Global Investments, LLC C/O BELLEVUE CAPITAL PARTNERS, LLC 222 BELLEVUE AVENUE NEWPORT, RI02840 |
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X |
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American Realty Capital III, LLC C/O BELLEVUE CAPITAL PARTNERS, LLC 222 BELLEVUE AVENUE NEWPORT, RI02840 |
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X |
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New York City Special Ltd. Partnership, LLC C/O BELLEVUE CAPITAL PARTNERS, LLC 222 BELLEVUE AVENUE NEWPORT, RI02840 |
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X |
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New York City Advisors, LLC C/O BELLEVUE CAPITAL PARTNERS, LLC 222 BELLEVUE AVENUE NEWPORT, RI02840 |
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X |
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/s/ See signatures attached as Exhibit 99.1 | 2022-10-04 |
**Signature of Reporting Person | Date |
(*) | If the form is filed by more than one reporting person, see Instruction 5(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) | Fully-vested shares of Class A common stock of New York City REIT, Inc. (the "Issuer") issued pursuant to the 2020 Advisor Omnibus Incentive Compensation Plan of the Issuer to, and in connection with fees earned by, New York City Advisors, LLC, the external advisor of the Issuer. |
(2) | Mr. Nicholas S. Schorsch is the sole managing member of Bellevue Capital Partners, LLC ("BCP"), who is the ultimate controlling person of New York City Advisors, LLC, and has voting and investment discretion with respect to the securities held of record by New York City Advisors, LLC. BCP is the sole member of AR Global Investments, LLC, who is the sole member of American Realty Capital III, LLC ("ARC III"). ARC III is the sole member of New York City Special Limited Partnership, LLC, who is the sole member of New York City Advisors, LLC, the record holder of the securities reported herein. |
(3) | Represents shares of Class A common stock directly owned by BCP. Mr. Nicholas S. Schorsch is the sole managing member of BCP, and has voting and investment discretion with respect to the securities held of record by BCP. |
(4) | Represents shares of Class A common stock owned solely by Mr. Nicholas S. Schorsch. |