Statement of Changes in Beneficial Ownership (4)
January 03 2020 - 5:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
PETERS SCOTT D |
2. Issuer Name and Ticker or Trading Symbol
HEALTHCARE TRUST OF AMERICA, INC.
[
HTA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O HEALTHCARE TRUST OF AMERICA, INC., 16435 N. SCOTTSDALE ROAD, SUITE 320 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/1/2020 |
(Street)
SCOTTSDALE, AZ 85254
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/1/2020 | | F | | 17434 (1) | D | $30.28 | 455038 | D | |
Common Stock | 1/2/2020 | | A | | 110301 (2) | A | $30.28 | 565339 | D | |
Common Stock | 1/2/2020 | | F | | 63917 (1) | D | $30.28 | 501422 | D | |
Common Stock | 1/2/2020 | | S | | 195000 | D | $29.32 (3) | 306422 (4) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This transaction represents shares withheld by the issuer to satisfy its minimum tax withholding obligation in connection with the vesting of restricted shares previously granted to the reporting person. |
(2) | Represents the grant of restricted shares of the issuer's common stock, such grant to vest in three installments with 36,767 shares vesting on the grant date and 36,767 vesting on each of January 2, 2021 and January 2, 2022. |
(3) | This transaction was executed in multiple trades at prices ranging from $29.25 to $29.36. The price reported above reflects the weighted-average sales price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request by the SEC staff, the issuer or a security holder of the issuer. |
(4) | The securities beneficially owned as noted herein are exclusive of Mr. Peters' fully vested ownership of 500,000 partnership units which could be converted into common stock subject to certain conditions, bringing effective remaining ownership to 806,422 shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PETERS SCOTT D C/O HEALTHCARE TRUST OF AMERICA, INC. 16435 N. SCOTTSDALE ROAD, SUITE 320 SCOTTSDALE, AZ 85254 | X |
| Chief Executive Officer |
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Signatures
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/s/ Scott D. Peters by Robert A. Milligan,
as attorney-in-fact, for Scott D. Peters | | 1/3/2020 |
**Signature of Reporting Person | Date |
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