Statement of Changes in Beneficial Ownership (4)
October 01 2021 - 5:55PM
Edgar (US Regulatory)
FORM 4
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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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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
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Brokaw George R |
2. Issuer Name and Ticker or Trading Symbol
CTO Realty Growth, Inc.
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CTO
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
DISH NETWORK CORPORATION, 9601 S MERIDIAN BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2021 |
(Street)
ENGLEWOOD, CO 80112
(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 | 10/1/2021 | | A | | 275 | A | $54.4130 | 17814 (1) | D (2) | |
Common Stock | | | | | | | | 1286 | I | Babette Brokaw Revocable Trust (3) |
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) | The Reporting Person acquired 1,000 shares of the Issuer's common stock on August 12, 2021, which was reported in a Form 4 filed on August 16, 2021 (the "8/16/21 Form 4"). The 8/16/21 Form 4 was erroneously filed twice, and thus the duplicate filing should be disregarded. Therefore, this Form 4 correctly states the number of shares of common stock beneficially owned by the Reporting Person after the transaction reported herein. |
(2) | These shares were issued to the Reporting Person in lieu of his 3rd quarter 2021 board retainer fee of $10,000 and committee retainer fees of $5,000 pursuant to the Issuer's Non-Employee Director Compensation Policy (the "Policy") adopted by the Issuer's board of directors on February 27, 2019 (last amended February 10, 2021). Pursuant to the Policy, the share price utilized to calculate the number of shares issued was the 20-day trailing average closing price as of the last day of the quarter, or $54.4130. |
(3) | These securities are held directly by the above-named trust, of which the Reporting Person is a beneficiary and trustee. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brokaw George R DISH NETWORK CORPORATION 9601 S MERIDIAN BLVD ENGLEWOOD, CO 80112 | X |
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Signatures
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/s/ Daniel E. Smith, attorney-in-fact for George R. Brokaw | | 10/1/2021 |
**Signature of Reporting Person | Date |
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