SEC Form 4 · accession 0001127602-15-015149
CBL & ASSOCIATES PROPERTIES INC · CBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles B Lebovitz
Officer — Chairman of the Board · Director · 10% Owner
Period of report
Apr 15, 2015
Accepted (ET)
Apr 27, 2015 · 11:58 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000910612
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 15, 2015 | J | 220 | $19.275 | A | 16,094 | I | By Spouse |
| Common StockF1,F2 | Apr 15, 2015 | J | 210 | $19.275 | A | 48,760 | I | By Trust |
| Common StockF1,F2 | Apr 15, 2015 | J | 210 | $19.275 | A | 48,970 | I | By Trust |
| Common StockF3 | holding | — | — | — | 719,318 | D | ||
| Common StockF2 | holding | — | — | — | 1,035,106 | I | By Corporation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common UnitsF4,F5 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 756,350 | 756,350 | D |
| Common UnitsF2,F4,F5 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 15,729,378 | 15,729,378 | I |
| Common UnitsF2,F4,F5 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 489,071 | 489,071 | I |
| Common UnitsF2,F4,F5 | — | holding | — | — | — | — | Nov 23, 2043 | Common Stock | 17,081 | 17,081 | I |
Explanation of responses
- F1The shares were acquired via the Company's Dividend Reinvestment Plan.
- F2The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F3Additionally, the Reporting Person owns, directly or indirectly, limited partnership interests in CBL & Associates Limited Partnership, a Delaware limited partnership (the Operating Partnership), that, together with the partnership interests of other limited partners in the Operating Partnership which are controlled by the Reporting Person, may be exchanged at any time for an aggregate of 16,991,880 shares of the Issuer's Common Stock (on a one-for-one basis) or cash, at the Issuer's election.
- F4The Common Units are exerciseable on a 1 to 1 ratio with no exercise price.
- F5Immediately exercisable.