SEC Form 3 · accession 0001229384-18-000050

APARTMENT INVESTMENT & MANAGEMENT CO · AIV

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

Reporting owner

Officer — Executive Vice President

Period of report

Oct 30, 2018

Accepted (ET)

Nov 8, 2018 · 7:08 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000922864

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock	holding	—	—		—	19,341	D
Class A Common Stock	holding	—	—		—	1,248	I	Held through a 401(k) plan, which information is based on a plan statement dated 10-31-2018

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class A Cumulative Preferred Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	—	—	D

F1The reporting person holds 4,844 shares of the Class A Cumulative Preferred Stock. Except in connection with a change of control, the shares are not convertible into or exchangeable for any other securities or property. Upon the occurrence of a change of control, the reporting person will have the right (unless the Issuer has previously provided notice of its election to redeem the shares) to convert some or all of the reporting person's Class A Cumulative Preferred Stock into a number of shares of the Issuer's Class A Common Stock per share of Class A Cumulative Preferred Stock equal to the lesser of (a) the quotient obtained by dividing (i) the sum of the $25 liquidation preference per share (plus the amount of any accumulated, accrued and unpaid dividends thereon) by (ii) the "common stock price" as that term is defined and (b) 1.57. The conversion terms are more completely defined and described in the Articles Supplementary for the Class A Cumulative Preferred Stock.
F2No Expiration Date.