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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 | ||||||||
Class B-2 common stock | (3) | 04/05/2013 | C | 11,173 | (3) | (3) | Class A common stock | 11,173 | (2) | 0 | D | ||||
Class A common stock option (right to buy) (1) | $ 22.375 (4) | 04/05/2013 | C | 50 | 06/08/2006 | 06/07/2014 | Class A common stock | 50 | $ 0 | 50 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 50 | 06/08/2006 | 06/07/2014 | Class B-2 common stock | 50 | $ 0 | 0 | D | ||||
Class A common stock option (right to buy) (1) | $ 22.375 (4) | 04/05/2013 | C | 50 | 06/07/2007 | 06/06/2015 | Class A common stock | 50 | $ 0 | 50 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 50 | 06/07/2007 | 06/06/2015 | Class B-2 common | 50 | $ 0 | 0 | D | ||||
Class A common stock option (right to buy) (1) | $ 25 (4) | 04/05/2013 | C | 50 | 10/10/2008 | 10/09/2016 | Class A common stock | 50 | $ 0 | 50 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 50 | 10/10/2008 | 10/09/2016 | Class B-2 common stock | 50 | $ 0 | 0 | D | ||||
Class A common stock option (right to buy) (1) | $ 25 (4) | 04/05/2013 | C | 50 | 11/13/2009 | 11/12/2017 | Class A common stock | 50 | $ 0 | 50 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 50 | 11/13/2009 | 11/12/2017 | Class B-2 common stock | 50 | $ 0 | 0 | D | ||||
Class A common stock (right to buy) (1) | $ 25 (4) | 04/05/2013 | C | 500 | 10/14/2010 | 10/13/2018 | Class A common stock | 500 | $ 0 | 500 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 500 | 10/14/2010 | 10/13/2018 | Class B-2 common stock | 500 | $ 0 | 0 | D | ||||
Class A common stock option (right to buy) (1) | $ 21.25 (4) | 04/05/2013 | C | 500 | 10/13/2011 | 10/12/2019 | Class A commons stock | 500 | $ 0 | 500 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 500 | 10/13/2011 | 10/12/2019 | Class B-2 common stock | 500 | $ 0 | 0 | D | ||||
Class A common stock (right to buy) (1) | $ 17.125 (4) | 04/05/2013 | C | 500 | 10/12/2012 | 10/11/2020 | Class A common stock | 500 | $ 0 | 500 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 500 | 10/12/2012 | 10/11/2020 | Class B-2 common stock | 500 | $ 0 | 0 | D | ||||
Class A common stock option (right to buy) (1) | $ 17.375 (4) | 04/05/2013 | C | 500 | 10/11/2013 | 10/10/2021 | Class A common stock | 500 | $ 0 | 500 | D | ||||
Class B-2 common stock option (right to buy) | (4) | 04/05/2013 | C | 500 | 10/11/2013 | 10/10/2021 | Class B-2 common stock | 500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GAUVREAU PAUL 2021 SPRING ROAD, SUITE 200 OAK BROOK, IL 60523 |
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/s/ Dennis K. Holland, attorney in fact | 04/05/2013 | |
**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) | In March 2012, Retail Properties of America, Inc. effectuated a reverse split of its then outstanding common stock, redesignated its common stock as Class A common stock, and subsequently paid a stock dividend pursuant to which each outstanding share of Class A common stock received one share each of Class B-1, Class B-2, and Class B-3 common stock. The net result was each previously outstanding share of common stock converted into 1/10 of a share of each of Class A, Class B-1, Class B-2, and Class B-3 common stock and each option to buy a previously outstanding share of common stock being converted into an option to buy 1/10 of a share of each of Class A, Class B-1, Class B-2, and Class B-3 common stock. On April 5, 2013, the Class B-2 common stock automatically converted into Class A common stock on a one-for-one basis and options to buy shares of Class B-2 common stock automatically converted into options to buy an equal number of shares of Class A common stock. |
(2) | Converted from shares of Class B-2 common stock into Class A common stock on a one-for-one basis. |
(3) | The Class B-2 common stock automatically converted into Class A common stock on April 5, 2013 on a one-for-one basis. |
(4) | Converted from an option to buy shares of Class B-2 common stock into an option to buy an equal number of shares of Class A common stock. |