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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
URSTADT CHARLES J 2 PARK PLACE BRONXVILLE, NY 10708 |
X | X | Chairman of the Board and CEO | |
URSTADT PROPERTY CO INC 2 PARK PLACE BRONXVILLE, NY 10708 |
Joint Filer | |||
URSTADT REALTY ASSOCIATES CO LP 2 PARK PLACE BRONXVILLE, NY 10708 |
Joint Filer |
Charles J. Urstadt by Thomas D. Myers as Attorney-in-Fact | 06/29/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On June 27, 2011, Charles J. Urstadt, the Reporting Person, initiated an equity swap (the "CJU Equity Swap") of 95,050 shares of Class A Common Stock of the Issuer for 95,050 shares of Common Stock of the Issuer with third parties unrelated to the Issuer by disposing of 95,050 shares of Class A Common Stock pursuant to the CJU Equity Swap. |
(2) | On June 27, 2011, Elinor F. Urstadt, the Reporting Person's wife, initiated an equity swap (the "EFU Equity Swap") of 10,000 shares of Class A Common Stock of the Issuer for 10,000 shares of Common Stock of the Issuer with a third party unrelated to the Issuer by disposing of 10,000 shares of Class A Common Stock pursuant to the EFU Equity Swap. |
(3) | On June 27, 2011, Urstadt Property Company, Inc., a Delaware corporation of which Mr. Urstadt is a controlling shareholder ("UPCO"), initiated an equity swap (the "UPCO Equity Swap") of 106,375 shares of Class A Common Stock of the Issuer for 106,375 shares of Common Stock of the Issuer with third parties unrelated to the Issuer by disposing of 106,375 shares of Class A Common Stock pursuant to the UPCO Equity Swap. |
(4) | On June 27, 2011, Urstadt Realty Associates Co LP ("URACO"), a Delaware limited partnership, of which UPCO is the general partner and Mr. Urstadt, Mrs. Urstadt, the Catherine U. Biddle Irrevocable Trust and the Charles D. Urstadt Irrevocable Trust (for each of which trusts Mr. Urstadt is the sole trustee) are the limited partners, initiated an equity swap (the "URACO Equity Swap") of 40,000 shares of Class A Common Stock of the Issuer for 40,000 shares of Common Stock of the Issuer with a third party unrelated to the Issuer by disposing of 40,000 shares of Class A Common Stock pursuant to the URACO Equity Swap. |
(5) | This figure consists of 35,000 restricted shares of Class A Common Stock issued pursuant to the Issuer's Amended and Restated Restricted Stock Award Plan. |
(6) | Prior to the transactions reported on this Form 4, Mr. Urstadt was the direct beneficial owner of 130,050 shares of Class A Common Stock and the indirect beneficial owner of an additional 156,375 shares of Class A Common Stock, of which 106,375 shares were owned by UPCO, 40,000 shares were owned by URACO, and 10,000 shares were owned by Elinor F. Urstadt. After all of the transactions reported on this Form 4, Mr. Urstadt is the direct beneficial owner of the remaining 35,000 shares of Class A Common Stock, all of which are restricted shares as referenced in footnote 5. |