Initial Statement of Beneficial Ownership (3)
January 04 2018 - 04:22PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Fenster Scott
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2018
|
3. Issuer Name
and
Ticker or Trading Symbol
EQUITY RESIDENTIAL [EQR]
|
(Last)
(First)
(Middle)
TWO NORTH RIVERSIDE PLAZA, SUITE 400
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
EVP & General Counsel /
|
(Street)
CHICAGO, IL 60606
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Shares Of Beneficial Interest
|
9528
(1)
|
D
|
|
Common Shares Of Beneficial Interest
|
261
(2)
|
I
|
401(k) Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Non-qualified Stock Option (Right to Buy)
|
(3)
|
2/5/2020
|
Common Shares Of Beneficial Interest
|
500
|
$28.10
|
D
|
|
Non-qualified Stock Option (Right to Buy)
|
(4)
|
2/7/2021
|
Common Shares Of Beneficial Interest
|
2477
|
$45.78
|
D
|
|
Non-qualified Stock Option (Right to Buy)
|
(5)
|
2/3/2022
|
Common Shares Of Beneficial Interest
|
4118
|
$51.34
|
D
|
|
Non-qualified Stock Option (Right to Buy)
|
(6)
|
2/7/2023
|
Common Shares Of Beneficial Interest
|
3763
|
$46.72
|
D
|
|
Non-qualified Stock Option (Right to Buy)
|
(7)
|
2/6/2024
|
Common Shares Of Beneficial Interest
|
3512
|
$48.13
|
D
|
|
Non-qualified Stock Option (Right to Buy)
|
(8)
|
2/5/2025
|
Common Shares Of Beneficial Interest
|
2986
|
$68.40
|
D
|
|
Non-qualified Stock Option (Right to Buy)
|
(9)
|
2/2/2027
|
Common Shares Of Beneficial Interest
|
15957
|
$60.76
|
D
|
|
Restricted Units
|
(10)
|
2/5/2025
|
Common Shares Of Beneficial Interest
|
1819
|
(11)
|
D
|
|
Restricted Units
|
(12)
|
2/4/2026
|
Common Shares Of Beneficial Interest
|
668
|
(13)
|
D
|
|
Operating Partnership Units
|
(14)
|
(15)
|
Common Shares Of Beneficial Interest
|
9238
|
$0
|
D
|
|
Explanation of Responses:
|
(1)
|
Direct total includes restricted shares of Equity Residential (the "Company") scheduled to vest in the future.
|
(2)
|
Represents shares acquired through profit sharing contributions and dividend reinvestment activity in the reporting person's account with the Equity Residential Advantage 401(k) Retirement Savings Plan, a plan qualified under Section 401(k) of the Internal Revenue Code of 1986, as amended.
|
(3)
|
Represents share options which vested on February 5, 2013.
|
(4)
|
Represents share options which vested in approximately three equal installments on February 7, 2012, February 7, 2013 and February 7, 2014.
|
(5)
|
Represents share options which vested in approximately three equal installments on February 3, 2013, February 3, 2014 and February 3, 2015.
|
(6)
|
Represents share options which vested in approximately three equal installments on February 7, 2014, February 7, 2015 and February 7, 2016.
|
(7)
|
Represents share options which vested in approximately three equal installments on February 6, 2015, February 6, 2016 and February 6, 2017.
|
(8)
|
Represents share options scheduled to vest in approximately three equal installments on February 5, 2016, February 5, 2017 and February 5, 2018.
|
(9)
|
Represents share options scheduled to vest in three equal installments on February 2, 2018, February 2, 2019 and February 2, 2020.
|
(10)
|
The Restricted Units vested on February 5, 2015, the date of the grant, and remained subject to a two year hold until February 5, 2017.
|
(11)
|
On February 5, 2015, the reporting person elected to receive a grant of restricted limited partnership interests ("Restricted Units") in ERP Operating Limited Partnership (the "Operating Partnership), the operating partnership of the Company, known as the "Series 2015B" Restricted Units, in connection with all or a portion of their performance bonus. Restricted Units are a class of partnership interest that automatically convert into an equal number of limited partnership interests of the Operating Partnership ("OP Units") when the capital account related to the Restricted Units reaches a specified target for federal income tax purposes (provided such target is reached within ten years of issuance). Subject to any vesting requirements of the grant and certain other restrictions, OP Units are exchangeable by the holder for common shares of the Company on a one-for-one basis or the cash value of such shares, at the Company's option. The Restricted Units reflected in this report also include any OP Units into which such Restricted Units automatically convert.
|
(12)
|
The Restricted Units are scheduled to vest on February 4, 2019.
|
(13)
|
On February 4, 2016, the reporting person received a grant of Restricted Units in the Operating Partnership, known as the "Series 2016B" Restricted Units, in lieu of restricted shares of the Company as part of the Company's annual grant of long-term compensation. Restricted Units are a class of partnership interest that automatically convert into an equal number of OP Units when the capital account related to the Restricted Units reaches a specified target for federal income tax purposes (provided such target is reached within ten years of issuance). Subject to any vesting requirements of the grant and certain other restrictions, OP Units are exchangeable by the holder for common shares of the Company on a one-for-one basis or the cash value of such shares, at the Company's option. The Restricted Units reflected in this report also include any OP Units into which such Restricted Units automatically convert.
|
(14)
|
The OP Units reflected in this report are Restricted Units which have automatically converted to OP Units per their terms. 7,653 OP Units are fully vested, transferable and can be exchanged by the holder for common shares of the Company on a one-for-one basis or, at the Company's option, for the cash value of such shares. The remaining 1,585 OP Units remain subject to a two year hold until February 2, 2019 and are scheduled to vest on February 2, 2020.
|
(15)
|
The OP Units do not have an expiration date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Fenster Scott
TWO NORTH RIVERSIDE PLAZA, SUITE 400
CHICAGO, IL 60606
|
|
|
EVP & General Counsel
|
|
Signatures
|
s/ By: Jane Matz, Attorney-in-fact
|
|
1/4/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Equity Residential (NYSE:EQR)
Historical Stock Chart
From Feb 2024 to Mar 2024
Equity Residential (NYSE:EQR)
Historical Stock Chart
From Mar 2023 to Mar 2024