Statement of Changes in Beneficial Ownership (4)
January 04 2019 - 1:02PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
LANDY EUGENE W
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2. Issuer Name
and
Ticker or Trading Symbol
MONMOUTH REAL ESTATE INVESTMENT CORP
[
MNR
]
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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)
Chairman of the Board
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(Last)
(First)
(Middle)
3499 RT. 9 NORTH, SUITE 3D
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/3/2019
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(Street)
FREEHOLD, NJ 07728
(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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MNR Common Stock
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1/3/2019
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M
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25000
(1)
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A
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$8.72
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878638.738
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D
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MNR Common Stock
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179405
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I
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Eugene W. Landy and Gloria Landy Family Foundation
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MNR Common Stock
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39361.087
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I
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Juniper Plaza Associates
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MNR Common Stock
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29527.275
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I
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Windsor Industrial Park Associates
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MNR Common Stock
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97913.57
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I
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Spouse
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MNR Common Stock
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13048
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I
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Landy Investments, Ltd.
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MNR Common Stock
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184293.62
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I
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Landy & Landy Employees' Pension Plan
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MNR Common Stock
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217426.819
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I
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Landy & Landy Employees' Profit Sharing Plan
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Qualified Stock Option to Purchase Common Stock
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$8.72
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1/3/2019
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M
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25000
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1/3/2012
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1/3/2019
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MNR Common Stock
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25000
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$0
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40000
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D
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Qualified Stock Option to Purhcase Common Stock
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$8.72
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1/3/2019
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D
(2)
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40000
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1/3/2012
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1/3/2019
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MNR Common Stock
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40000
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(2)
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0
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D
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Non-Qualified Stock Option to Purhcase Common Stock
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$8.72
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1/3/2019
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A
(2)
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40000
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1/3/2019
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2/28/2019
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MNR Common Stock
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40000
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(2)
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40000
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D
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Qualified Stock Option to Purchase Common Stock
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$17.80
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1/3/2019
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1/3/2026
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MNR Common Stock
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65000
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65000
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D
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Qualified Stock Option to Purchase MNR Common Stock
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$15.04
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1/4/2018
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1/4/2025
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MNR Common Stock
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65000
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65000
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D
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Qualified Stock Option to Purchase MNR Common Stock
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$10.37
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1/5/2017
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1/5/2024
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MNR Common Stock
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65000
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65000
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D
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Qualified Stock Option to Purchase MNR Common Stock
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$11.16
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1/5/2016
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1/5/2023
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MNR Common Stock
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65000
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65000
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D
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Qualified Stock Option to Purchase Common Stock
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$8.94
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1/3/2015
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1/3/2022
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MNR Common Stock
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65000
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65000
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D
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Qualified Stock Option to Purchase Common Stock
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$10.46
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1/3/2014
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1/3/2021
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MNR Common Stock
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65000
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65000
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D
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Qualified Stock Option to Purchase Common Stock
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$9.33
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1/3/2013
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1/3/2020
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MNR Common Stock
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65000
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65000
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D
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Explanation of Responses:
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(1)
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Partial Exercise of Stock Option.
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(2)
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The two reported transactions involved an amendment of an outstanding option to extend the expiration date from January 3, 2019 to February 28, 2019, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 3, 2011 and became exercisable in full on January 3, 2012.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LANDY EUGENE W
3499 RT. 9 NORTH
SUITE 3D
FREEHOLD, NJ 07728
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X
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Chairman of the Board
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Signatures
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Eugene W. Landy
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1/4/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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