SEC Form 4 · accession 0001127602-18-032746

CBL & ASSOCIATES PROPERTIES INC · CBL

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

Reporting owner

Officer — Chairman of the Board · Director · 10% Owner

Period of report

Oct 16, 2018

Accepted (ET)

Nov 13, 2018 · 10:32 am 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 Stock^F1,F2	Oct 16, 2018	J	1,353	$3.4225	A	24,340	I	By Spouse
Common Stock^F3	holding	—	—		—	939,297	D
Common Stock^F2	holding	—	—		—	1,035,106	I	By Corporation
Common Stock^F2	holding	—	—		—	17,758	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Units^F4,F5	—	holding	—	—	—	—	Nov 3, 2043	Common Stock	756,350	756,350	D
Common Units^F2,F4,F5	—	holding	—	—	—	—	Nov 3, 2043	Common Stock	15,729,378	15,729,378	I
Common Units^F2,F4,F5	—	holding	—	—	—	—	Nov 3, 2043	Common Stock	489,071	489,071	I
Common Units^F2,F4,F5	—	holding	—	—	—	—	Nov 23, 2043	Common Stock	17,081	17,081	I

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.