Form Type: 4

Accession Number:0001104659-21-140078
Original Submission Date:

Reporting Person:


Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-11-12 D 169,741 d $19.48 924,835 direct
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-11-12 D 292,759 d $19.48 2,535,870 indirect
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-11-16 J 70,716 d $0.00 2,535,870 indirect
SPECIAL VOTING PREFERRED STOCK, PAR VALUE $0.01 PER SHARE 2021-11-16 J 266,638 d $0.00 10,665,530 indirect
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-11-12 0 $0.00 3,632 indirect
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-11-12 0 $0.00 1,632 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PARTNERSHIP COMMON UNITS 0.0 2021-11-16 deemed execution date J 266,638 (d) common stock, par value $0.01 per share 266,638 $0.00 10,665,530 indirect by arbor commercial mortgage, llc
f1 as previously agreed to, arbor realty trust, inc. (the "company") used a portion of the net proceeds received from its november 4, 2021 public offering of 7,500,000 shares of common stock (the "offering") to purchase an aggregate of 462,500 shares of the company's common stock held by mr. kaufman and arbor commercial mortgage, llc ("acm") for $19.48 per share, which is the same price at which the underwriters purchased the shares in the offering.
f2 mr. kaufman transferred a portion of his membership interest in acm to a limited liability company owned by a trust established for the benefit of his family. no shares of common stock ("common stock") or special voting preferred stock ("special voting preferred stock") of the company or partnership common units ("partnership common units") of arbor realty limited partnership ("arlp") were transferred in connection with this transaction and acm continues to directly hold 2,535,870 shares of common stock, 10,665,530 shares of special voting preferred stock and 10,665,530 partnership common units after the reported transaction. the amounts reported as disposed of in table i and table ii represent mr. kaufman's indirect interest in such securities that may be deemed to be transferred to such limited liability company as described herein.
f3 mr. kaufman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
f4 each partnership common unit is accompanied by a share of special voting preferred stock, which provides the holder with one vote per share on any matter submitted to a vote of the issuer's stockholders. pursuant to the arlp partnership agreement, each partnership common unit and its accompanying special voting preferred stock is redeemable at the election of the holder for the cash value of one share of common stock, or at the issuer's election, shares of common stock on a one-for-one basis.
f5 not applicable.

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