SEC Form 4 · accession 0001628280-16-019245
EQUITY ONE, INC. · EQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Caputo
Officer — President
Period of report
Aug 24, 2016
Accepted (ET)
Aug 25, 2016 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001042810
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 24, 2016 | M | 16,500 | $19.13 | A | 59,530 | D | |
| Common Stock | Aug 24, 2016 | M | 100,000 | $19.07 | A | 159,530 | D | |
| Common Stock | Aug 24, 2016 | M | 148,907 | $21.75 | A | 308,437 | D | |
| Common StockF2 | Aug 24, 2016 | S | 265,407 | $30.9384 | D | 43,030 | D | |
| Common Stock | Aug 25, 2016 | M | 101,093 | $21.75 | A | 144,123 | D | |
| Common StockF3 | Aug 25, 2016 | S | 101,093 | $31.0483 | D | 43,030 | D | |
| Common StockF4 | holding | — | — | — | 107,768 | I | Indirect |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Option to buy) | $21.75 | Aug 24, 2016 | M | 148,907 | D | Mar 14, 2012 | Mar 13, 2018 | Common Stock | 148,907 | 101,093 | D |
| Common Stock (Option to buy) | $21.75 | Aug 25, 2016 | M | 101,093 | D | Mar 14, 2012 | Mar 13, 2018 | Common Stock | 101,093 | 0 | D |
| Common Stock (Option to buy) | $19.13 | Aug 24, 2016 | M | 16,500 | D | Mar 17, 2013 | Mar 17, 2020 | Common Stock | 16,500 | 0 | D |
| Common Stock (Option to buy) | $19.07 | Aug 24, 2016 | M | 100,000 | D | Feb 20, 2015 | Feb 20, 2021 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1Includes 597.44 shares acquired by the reporting person as of June 30, 2016 under the Issuer's Employee Stock Purchase Plan not previously reported.
- F2This transaction was executed in multiple trades ranging from $30.90 to $31.20; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and process at which the transactions were effected upon request of the SEC staff, the issuer or a security holder of the issuer.
- F3This transaction was executed in multiple trades ranging from $31.00 to $31.12; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request of the SEC staff, the issuer or security holder of the issuer.
- F4Held by the Thomas A. Caputo Family Trust II (the "Trust") for the benefit of the reporting person's family. The reporting person has investment control over the securities held by the Trust.