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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 | ||||||||
Operating Partnership Units | $ 0 | 07/14/2016 | 07/14/2016 | J | 78,818 (1) | (3) | (3) | Common Stock | 78,818 | $ 0 | 0 | I | Through CIO OP Limited Partnership (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHRAIBERG STEPHEN B 9375 RIVIERA HILLS DR. GREENWOOD VILLAGE, CO 80111 |
X |
/s/ Stephen Shraiberg | 07/18/2016 | |
**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 July 14, 2016, City Office REIT, Inc. (the "Company") received a redemption request from each of Second City General Partner II, L.P., GCC Amberglen L.P., Gibralt US, Inc. and CIO OP Limited Partnership (collectively, the "Second City Funds"), each a limited partner of City Office REIT Operating Partnership, L.P. (the "OP"), pursuant to which the Company issued shares of its common stock, par value $0.01 per share ("Common Stock"), to the Second City Funds in exchange for tendered units of partnership interest in the OP. The shares of Common Stock then held by each of the Second City Funds were subsequently distributed to its limited partners, including the Reporting Person. |
(2) | The Reporting Person disclaims beneficial ownership of these securities as this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for the purposes of Section 16 or any other purpose. |
(3) | The OP Units are vested as of the date of issuance. The OP Units have no expiration date. |