SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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. Name and Address of Reporting Person*
Mazarakis John

(Last) (First) (Middle)
CHICAGO ATLANTIC REAL ESTATE FINANCE INC
420 NORTH WABASH AVENUE, SUITE 500

(Street)
CHICAGO IL 60611

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/07/2021
3. Issuer Name and Ticker or Trading Symbol
Chicago Atlantic Real Estate Finance, Inc. [ REFI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Exec. Chair of the Board
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 19,616(1)(3) I Held through ownership of interests in Chicago Atlantic Fund, LLC
Common Stock 23,912(2)(3) I Held through ownership of interests in Chicago Atlantic Fund QP, LLC
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Included in the 19,616 shares are 12,872 shares held through Joppa Seasonings, of which Mr. Mazarakis owns a 25% interest, 1,775 shares held directly, and 4,970 shares held through Mr. Mazarakis's interest in Chicago Atlantic Management, LLC, the managing member of Chicago Atlantic Fund, LLC.
2. Included in the 23,912 shares are 17,290 shares held through Joppa Seasonings, of which Mr. Mazarakis owns a 25% interest, 4,677 shares held directly, and 1,945 shares held through Mr. Mazarakis's interest in Chicago Atlantic Management, LLC, the managing member of Chicago Atlantic Fund, LLC.
3. All of the shares held by Mr. Mazarakis are subject to a 180-day lockup that ends on June 5, 2022.
/s/ John Mazarakis 12/07/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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