SEC Form 4 · accession 0001127602-19-006190
CBL & ASSOCIATES PROPERTIES INC · CBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan L. Lebovitz
Officer — Executive VP - Management
Period of report
Feb 14, 2019
Accepted (ET)
Feb 15, 2019 · 11:04 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 StockF1,F2 | Feb 14, 2019 | A | 3,750 | $0.00 | A | 104,744 | D | |
| Preferred Series D Depositary Shares | holding | — | — | — | 5,905 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common UnitsF3,F4 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 155,847 | 155,847 | D |
| Common UnitsF5,F3,F4 | — | holding | — | — | — | — | Nov 3, 2043 | Common Stock | 52,980 | 52,980 | I |
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 Persons 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 155,847 shares of the Issuer's Common Stock (on a one-for-one basis) or cash, at the Issuer's election.
- F3The Common Units are exercisable on a 1 to 1 ratio with no exercise price.
- F4Immediately exercisable.
- F5The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.