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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 | |
SPIRIT REALTY CAPITAL, INC. 2727 NORTH HARWOOD STREET, SUITE 300 DALLAS, TX 75201 |
X | |||
Spirit General OP Holdings, LLC 2727 NORTH HARWOOD STREET, SUITE 300 DALLAS, TX 75201 |
X | |||
Spirit Realty, L.P. 2727 NORTH HARWOOD STREET, SUITE 300 DALLAS, TX 75201 |
X |
Spirit Realty Capital, Inc. By: /s/ Michael Hughes, Executive Vice President, Chief Financial Officer and Treasurer | 05/22/2018 | |
**Signature of Reporting Person | Date | |
Spirit General OP Holdings, LLC By: /s/ Michael Hughes, Executive Vice President, Chief Financial Officer and Treasurer | 05/22/2018 | |
**Signature of Reporting Person | Date | |
Spirit Realty, L.P. By: /s/ Michael Hughes, Executive Vice President, Chief Financial Officer and Treasurer | 05/22/2018 | |
**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) | On or about May 31, 2018, Spirit Realty Capital, Inc. ("Spirit") will make a pro rata distribution of 100% of the outstanding common shares of the Issuer to Spirit stockholders of record as of May 18, 2018 (the "Distribution"). On or prior to the date of the Distribution, SMTA will recapitalize the SMTA common shares then held by Spirit Realty, L.P. such that Spirit will distribute to its stockholders one SMTA common share for every ten shares of Spirit common stock held by stockholders of Spirit as of the close of business on May 18, 2018. |
(2) | Reported number of shares reflects the recapitalization of the SMTA common shares that is expected to occur on or prior to the date of the Distribution based on the number of shares of Spirit common stock outstanding as of the close of business on May 18, 2018. |
(3) | The shares will be directly owned by Spirit Realty, L.P. until immediately prior to the Distribution. Spirit General OP Holdings, LLC, a wholly-owned subsidiary of Spirit Realty Capital, Inc., is the general partner of Spirit Realty, L.P. |