SEC Form 4 · accession 0001500217-18-000102

American Assets Trust, Inc. · AAT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Ernest S Rady

Officer — Chairman, CEO & President · Director · 10% Owner

Period of report

Nov 9, 2018

Accepted (ET)

Nov 13, 2018 · 9:15 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001500217

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01^F1	Nov 9, 2018	P	13,002	$39.08	A	903,012	I	By AAI
Common Stock, par value $0.01^F1	Nov 12, 2018	P	8,606	$39.42	A	911,618	I	By AAI
Common Stock, par value $0.01^F2	holding	—	—		—	5,717,766	I	By ERT
Common Stock, par value $0.01^F3	holding	—	—		—	1,255,336	I	By ICW
Common Stock, par value $0.01^F4	holding	—	—		—	597,341	I	By RFF
Common Stock, par value $0.01^F5	holding	—	—		—	200,000	I	By EIC
Common Stock, par value $0.01^F6	holding	—	—		—	42,330	I	By ESRT
Common Stock, par value $0.01^F7	holding	—	—		—	167,940	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Represents shares held by American Assets, Inc. ("AAI"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F2Represents shares held by Ernest Rady Trust U/D/T March 10, 1983 ("ERT"), for which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F3Represents shares held by Insurance Company of the West ("ICW"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F4Represents shares held by Rady Family Foundation dated August 2, 2002 ("RFF"), for which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F5Represents shares held by Explorer Insurance Company ("EIC"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F6Represents shares held by Evelyn Shirley Rady Trust U/D/T March 10, 1983 ("ESRT"), for which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F7Amount includes (a) 62,650 shares held by Ernest Rady IRA and (b) 105,290 shares of restricted common stock issued pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. 2011 Equity Incentive Award Plan.