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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 | |
URSTADT CHARLES J 2 PARK PLACE BRONXVILLE, NY 10708 |
X | X |
/s/ Charles J. Urstadt | 01/04/2019 | |
**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 January 2, 2019, the Issuer entered into an agreement with Charles J. Urstadt (the "Reporting Person") whereby the Reporting Person was granted a restricted stock award of 25,000 shares of Common Stock, that vests on January 2, 2024, pursuant to the Issuer's Amended and Restated Restricted Stock Award Plan (the "Restricted Stock Award Plan"). |
(2) | Of the 890,570 shares of the Common Stock, 125,000 shares are restricted stock, subject to vesting, issued pursuant to the Restricted Stock Award Plan. |
(3) | Shares held by Urstadt Property Company, Inc. ("UPCO"), a Delaware corporation. |
(4) | Shares held by Elinor F. Urstadt, the Reporting Person's spouse. |
(5) | Shares held by Urstadt Realty Associates Co LP, a Delaware limited partnership, of which UPCO is the general partner and the Reporting Person, Mrs. Urstadt, the Catherine U. Biddle Irrevocable Trust and the Charles D. Urstadt Irrevocable Trust (for each of which the Reporting Person is the sole trustee) are limited partners. |
(6) | Includes 100,000 restricted shares of Common Stock issued pursuant to the Issuer's Restricted Stock Award Plan, all of which are held by Urstadt Realty Shares II L.P ("URS II"). |
(7) | Shares held by Urstadt Family Trust. |