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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
W. P. Carey Inc. 50 ROCKEFELLER PLAZA NEW YORK, NY 10020 |
X | |||
Carey REIT II, Inc. 50 ROCKEFELLER PLAZA NEW YORK, NY 10020 |
X |
/s/ James A. Fitzgerald, Assistant Secretary for each Reporting Owner | 07/01/2013 | |
**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) | Represents performance fees paid in shares of the Issuer at the election of the Reporting Person and its subsidiaries under the terms of advisory agreements with the Issuer. |
(2) | The share amount reported has been adjusted to reflect a pro rata distribution to the minority shareholder of W. P. Carey International LLC ("WPCI"), a subsidiary of the Reporting Person. As permitted by the applicable Section 16 rules, the Reporting Person's prior Section 16 reports included all shares owned by WPCI, including shares attributable to WPCI's minority shareholder. |
(3) | These shares are held by subsidiaries of the Reporting Person as follows: Carey REIT II, Inc. owns 32,149,879.8902 shares, Carey Asset Management Corp. owns 5,907,410.7634 shares, and WPCI owns 3,672.8354 shares. |