Amended Statement of Changes in Beneficial Ownership (4/a)
February 26 2020 - 2:23PM
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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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
*
LEBOVITZ MICHAEL I |
2. Issuer Name and Ticker or Trading Symbol
CBL & ASSOCIATES PROPERTIES INC
[
CBL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President |
(Last)
(First)
(Middle)
2030 HAMILTON PLACE BLVD., SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/12/2020 |
(Street)
CHATTANOOGA, TN 374216000
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
2/14/2020 |
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 | 2/12/2020 | | A | | 138274 (1) | A | $0 | 653906.9886 | D (2) | |
Common Stock | 2/12/2020 | | F | | 6485 | D | $.7755 | 647421.9886 | D (2) | |
Common Stock | | | | | | | | 1830.099 | I (3) | By Spouse |
Common Stock | | | | | | | | 0 (4) | I (3) | By Trust |
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 |
Common Units | (5) | | | | | | | (6) | 11/3/2043 | Common Stock | 212346 | | 212346 | D | |
Common Units | (5) | | | | | | | (6) | 11/3/2043 | Common Stock | 54155 | | 54155 | I (3) | By Trust |
Common Units | (5) | | | | | | | (6) | 11/3/2043 | Common Stock | 7431 | | 7431 | I (3) | By Trust |
Explanation of Responses: |
(1) | Grant of restricted Common Stock pursuant to the terms of the CBL & Associates Properties, Inc. 2012 Stock Incentive Plan, as amended. |
(2) | Additionally, the Reporting Person owns a limited partnership interest in CBL & Associates Limited Partnership, a Delaware limited partnership, that may be exchanged at any time for an aggregate of 212,346 shares of the Issuer's Common Stock (on a one-for-one basis) or cash, at the Issuer's election. |
(3) | The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(4) | Prior Form 4 erroneously reflected indirect beneficial ownership of 8847.233 shares held in trusts f/b/o the Reporting Person's children. As the Reporting Person does not serve as Trustee of these trusts and has no reportable beneficial ownership, such shares have been dropped from this report |
(5) | The Common Units are exerciseable on a 1 to 1 ratio with no exercise price. |
(6) | Immediately exercisable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
LEBOVITZ MICHAEL I 2030 HAMILTON PLACE BLVD., SUITE 500 CHATTANOOGA, TN 374216000 |
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| President |
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Signatures
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/s/ Jeffery V. Curry, attorney-in-fact for Michael I. Lebovitz | | 2/26/2020 |
**Signature of Reporting Person | Date |
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