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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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
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 (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 70.34 | 03/08/2013 | A | 8,125 (5) | 03/08/2014(6) | 03/08/2023 | Common Stock | 8,125 | $ 0 | 18,410 | D | ||||
Stock Option (Right to Buy) | $ 44.19 | 03/11/2013 | M | 3,698 | 02/26/2010(7) | 02/26/2020 | Common Stock | 3,698 | $ 0 | 14,712 | D | ||||
Stock Option (Right to Buy) | $ 57.19 | 03/11/2013 | M | 2,987 | 02/25/2011(8) | 02/25/2021 | Common Stock | 2,987 | $ 0 | 11,725 | D | ||||
Stock Option (Right to Buy) | $ 55.39 | 03/11/2013 | M | 1,200 | 03/09/2013(9) | 03/09/2022 | Common Stock | 1,200 | $ 0 | 10,525 (10) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brehl Robert J 10350 ORMSBY PARK PLACE, SUITE 300 LOUISVILLE,, KY 40223 |
Chief Acct. Off. & Controller |
Robert J. Brehl, By: T. Richard Riney, Attorney-In-Fact | 03/12/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 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) | Restricted stock granted by Issuer pursuant to the Ventas, Inc. 2012 Incentive Plan (the "Plan"). This restricted stock vests in three equal annual installments beginning on the first anniversary of the date of the grant. |
(2) | Represents shares withheld to pay the taxes on the vesting of restricted stock granted on March 9, 2012 under the Ventas, Inc. 2006 Incentive Plan. |
(3) | On March 11, 2013, the Reporting Person transmitted to the Securities and Exchange Commission a Form 144 covering the sale of the Issuer's common stock reported in Table I. |
(4) | Includes 21.484 shares acquired between February 27, 2013 and March 11, 2013 under the Ventas Employee and Director Stock Purchase Plan. |
(5) | Stock options granted by Issuer pursuant to the Plan. |
(6) | These options vest in three equal annual installments beginning on the first anniversary of the date of the grant. |
(7) | These options were part of a previously reported grant of 3,698 on February 26, 2010 by the Issuer to the Reporting Person that vested in three equal annual installments beginning on February 26, 2010. |
(8) | These options were part of a previously reported grant of 2,987 on February 25, 2011 by the Issuer to the Reporting Person that vested in three equal annual installments beginning on February 25, 2011. |
(9) | These options were part of a previously reported grant of 3,600 on March 9, 2012 by the Issuer to the Reporting Person that vested or will vest in three equal annual installments beginning on March 9, 2013. |
(10) | Represents total number of unexercised stock options held by the Reporting Person as of March 11, 2013. |