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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 37 | 05/02/2011 | M | 8,684 | 01/15/2007(3) | 01/26/2014 | Common Stock | 8,684 (3) | $ 0 (4) | 0 (3) | D | ||||
Stock Option (Right to Buy) | $ 36.5 | 05/02/2011 | M | 1,120 | 01/15/2007(5) | 01/23/2016 | Common Stock | 29,630 (5) | $ 0 (6) | 28,510 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHAPMAN GEORGE L 4500 DORR STREET TOLEDO, OH 43615 |
X | Chairman, CEO and President |
By: Erin C. Ibele Attorney-in-Fact For: George L. Chapman | 05/04/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The shares covered by this Form 4 have been sold pursuant to a Rule 10b5-1 Sales Plan dated March 29, 2011, which is intended to comply with Rule 10b5-1. |
(2) | George L. Chapman III SSB IRA Rollover Custodian. |
(3) | Options for the purchase of 21,131 shares of common stock at $37.00 per share were granted to Mr. Chapman on January 26, 2004, which grant has previously been reported. The partial exercise of these options for the purchase of 12,447 shares has previously been reported. Of the remaining options, options for the purchase of 232 shares vested on January 15, 2007 and options for the purchase of 4,226 shares vested on January 15 of each of 2008 and 2009. |
(4) | The options were granted under the Health Care REIT, Inc. 1995 Stock Incentive Plan and had no acquisition price. |
(5) | Options for the purchase of 29,630 shares of common stock at $36.50 per share were granted to Mr. Chapman on January 23, 2006, which grant has previously been reported. Options for the purchase of 5,699 shares vested on January 15, 2007, options for the purchase of 5,698 shares vested on January 15 of each of 2008, 2009 and 2010 and options for the purchase of 6,837 shares vested on January 15, 2011. |
(6) | The options were granted under the Health Care REIT, Inc. 2005 Long-Term Incentive Plan and had no acquisition price. |
Remarks: The shares covered by this Form 4 have been sold pursuant to a Rule 10b5-1 Sales Plan dated March 29, 2011, which is intended to comply with Rule 10b5-1. |