SEC Form 4/A · accession 0001127602-16-036958
CBL & ASSOCIATES PROPERTIES INC · CBL
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
Stephen D Lebovitz
Officer — President and CEO · Director
Period of report
Jul 16, 2015
Accepted (ET)
Jan 14, 2016 · 4:44 pm EST
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,F3 | Jul 16, 2015 | J | 248 | $16.5395 | A | 31,459 | I | UGMA/UTMA Cust for Sons |
| Common StockF1,F2,F3 | Jul 16, 2015 | J | 248 | $16.5395 | A | 31,707 | I | UGMA/UTMA Cust for Sons |
| Common StockF4 | holding | — | — | — | 813,527 | D | ||
| Common StockF2 | holding | — | — | — | 1,150 | I | By Spouse | |
| Common StockF2,F5 | holding | — | — | — | 10,383 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common UnitsF6,F7 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 480,297 | 480,297 | D |
| Common UnitsF2,F8,F7 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 49,365 | 49,365 | I |
| Common UnitsF2,F8,F7 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 9,650 | 9,650 | 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.
- F3Prior Form 4s filed on behalf of the Reporting Person incorrectly identified the securities as held by Trust. The securities are held by the Reporting Person as Custodian UGMA/UTMA for the benefit of his sons.
- F4Additionally, the Reporting Person owns a limited partnership interest in CBL & Associates Limited Partnership, a Delaware limited partnership, that may be exchanged at any time for an aggregate of 480,297 shares of the Issuer's Common Stock (on a one-for-one basis) or cash, at the Issuer's election.
- F5Includes an additional 1,461 shares of Common Stock of the Issuer due to cumulative prior errors in reporting the number of shares accumulated in brokerage accounts owned by Trusts for the benefit of the Reporting Person's sons.
- F6The Common Units are exercisable on a 1 to 1 ratio with no exercise price.
- F7Immediately exercisable.
- F8The Common units are exercisable on a 1 to 1 ratio with no exercise price.