SEC Form 4 · accession 0001127602-18-006342
CBL & ASSOCIATES PROPERTIES INC · CBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Augustus N Stephas
Officer — Exec VP & COO
Period of report
Feb 15, 2018
Accepted (ET)
Feb 15, 2018 · 4:02 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 | Feb 15, 2018 | A | 48,951 | $0.00 | A | 157,301 | D | |
| Preferred Series D Depositary Shares | holding | — | — | — | 2,162 | D | ||
| Preferred Series E Depositary Shares | holding | — | — | — | 1,600 | D | ||
| Preferred Series E Depositary SharesF3 | holding | — | — | — | 195 | I | By Spouse |
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 | 55,340 | 55,340 | D |
Explanation of responses
- F1Grant of restricted Common Stock pursuant to the terms of the CBL & Associates Properties, Inc. 2012 Stock Incentive Plan, as amended.
- F2Additionally, 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 55,340 shares of the Issuer's Common Stock (on a one-for-one basis) or cash, at the Issuer's election.
- F3The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F4The Common Units are exerciseable on a 1 to 1 ratio with no exercise price.
- F5Immediately exercisable.