SEC Form 4 · accession 0000899243-18-002649
COHEN & STEERS, INC. · CNS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Hamilton Steers
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 4:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001284812
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Jan 31, 2018 | A | 63,878 | $0.00 | A | 6,905,128 | D | |
| Common StockF4 | Jan 31, 2018 | F | 28,343 | $40.65 | D | 6,876,785 | D | |
| Common StockF1 | holding | — | — | — | 4,218,897 | I | By the Steers 2014 Descendents' Trust | |
| Common StockF2 | holding | — | — | — | 950,920 | I | By the Robert H. Steers Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares owned by the Steers 2014 Descendents' Trust for the benefit of Mr. Steers' family. Members of Mr. Steers' immediate family serve as trustees of the trust. Mr. Steers disclaims beneficial ownership of these shares, and the filing of this Form 4 is not an admission that Mr. Steers is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F2Shares owned by the Robert H. Steers Family Trust for the benefit of Mr. Steers' family. A member of Mr. Steers' immediate family serves as trustee of the trust. Mr. Steers disclaims beneficial ownership of these shares, and the filing of this Form 4 is not an admission that Mr. Steers is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F3Includes 53,981 restricted stock units ("RSUs") granted by the issuer to the reporting person, which represents the portion of the reporting person's 2017 annual incentive performance bonus that was mandatorily deferred by the issuer pursuant to the issuer's Mandatory Stock Bonus Program. Also includes 9,897 RSUs granted by the issuer to the reporting person. Any dividends paid on the issuer's common stock are paid in additional RSUs (the "dividend RSUs"). The RSUs vest ratably over four years, and the dividend RSUs vest on the fourth anniversary of the grant date of the RSUs.
- F4Represents the withholding by the issuer of shares of common stock in connection with the reporting person's tax obligations upon the vesting of previously reported RSUs and delivery of the common stock underlying such RSUs.