SEC Form 4/A · accession 0001623528-19-000028
CTO Realty Growth, Inc. · CTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Daniel Earl Smith
Officer — Sr. VP & General Counsel
Period of report
Jan 29, 2018
Accepted (ET)
Mar 7, 2019 · 10:57 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000023795
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jan 29, 2018 | F | 498 | $66.19 | D | 11,895 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On 1/29/2018, a total of 1,833 shares of restricted common stock of the Issuer, a portion of such restricted shares having been awarded to the Reporting Person on each of 1/28/2015, 1/27/2016 and 1/25/2017, became vested and unrestricted. A portion of the vesting shares was withheld by the Issuer in order to satisfy the Reporting Person's tax liability.
- F2This amount includes 4,134 shares of restricted common stock which vest over time, and 1,250 shares of restricted common stock which vest based on share price appreciation, both of which were previously reported.
- F3This Form 4/A amends and replaces in its entirety the Form 4 filed by the Reporting Person on 1/31/2018 (the "Original Filing"). This report on Form 4/A is being filed solely to correct the inadvertent over-reporting of the Reporting Person's total holdings of common stock by 73 shares (the "Over-Reported Shares"). The Over-Reported Shares were also inadvertently included in three Forms 4 filed by the Reporting Person after the Original Filing.