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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 | ||||||||
Employee Stock Options | $ 52.56 | 10/07/2015 | D | 7,656 | (4) | 05/01/2018 | common stock | 7,656 | $ 22.67 (5) | 0 | D | ||||
Employee Stock Options | $ 33.9 | 10/07/2015 | D | 6,987 | (4) | 05/11/2019 | common stock | 6,987 | $ 41.33 (6) | 0 | D | ||||
Employee Stock Options | $ 49.35 | 10/07/2015 | D | 6,820 | (4) | 05/11/2020 | common stock | 6,820 | $ 25.88 (7) | 0 | D | ||||
Employee Stock Options | $ 62.09 | 10/07/2015 | D | 4,396 | (4) | 05/10/2021 | common stock | 4,396 | $ 13.14 (8) | 0 | D | ||||
Employee Stock Options | $ 63.69 | 10/07/2015 | D | 5,364 | (4) | 05/08/2022 | common stock | 5,364 | $ 11.54 (9) | 0 | D | ||||
Deferred Share Units (10) | (11) | 10/07/2015 | D | 6,913 (12) | (11) | (11) | common | 6,913 | $ 75.23 (13) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Critchley Lisa M HOME PROPERTIES, INC. 850 CLINTON SQUARE ROCHESTER, NY 14604 |
Senior Vice President |
/s/ Lisa M. Critchley, By Ann M. McCormick, attorney-in-fact | 10/07/2015 | |
**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) | Represents shares received for no consideration that were earned based on the achievement of certain performance measures. |
(2) | Includes common shares, restricted shares and restricted stock units, including those earned pursuant to performance-based measures. |
(3) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive $75.23 in cash per share. |
(4) | Options were fully vested. |
(5) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive $22.67 per share.underlying the stock options, representing the spread between the exercise price and the merger price of $75.23. |
(6) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive $41.33 per share.underlying the stock options, representing the spread between the exercise price and the merger price of $75.23. |
(7) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive $25.88 per share.underlying the stock options, representing the spread between the exercise price and the merger price of $75.23. |
(8) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive $13.14 per share.underlying the stock options, representing the spread between the exercise price and the merger price of $75.23. |
(9) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive $11.54 per share.underlying the stock options, representing the spread between the exercise price and the merger price of $75.23. |
(10) | Deferred compensation held under the Issuer's deferred compensation plan ("DSUs"). |
(11) | Each DSU was the economic equivalent of one Issuer common share, and were initially payable pursuant to the Reporting Person's deferred compensation elections. |
(12) | Includes DSUs acquired pursuant to the dividend reinvestment. |
(13) | Disposed of pursuant to the merger of Home Properties, Inc. with and into an affiliate of Lone Star Real Estate Fund IV (U.S.), L.P. in exchange for the right to receive cash per DSU equal to the closing price for shares of Home Properties, Inc. common stock as listed on the New York Stock Exchange on the date before the merger occurs, as specified in the Home Properties, Inc. Director Deferred Compensation Plan. |