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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 | ||||||||
Restricted Stock Unit | (1) (2) | 03/01/2019 | 03/01/2019 | A | 7,000 | (2) | (2) | Common Stock | 7,000 | (3) | 53,500 (1) | D | |||
Restricted Stock Unit | (1) | 03/01/2019 | 03/01/2019 | M | 2,500 (4) | (2)(4) | (2)(4) | Common Stock | 2,500 | (1) | 51,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COOPER MILTON C/O KIMCO REALTY CORP 3333 NEW HYDE PARK RD STE 100 HYDE PARK, NY 11042 |
X |
/s/ Milton Cooper | 03/05/2019 | |
**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) | Each Restricted Stock Unit (RSU) is settled, at the discretion of the Compensation Committee, in one(1) share of common stock or in cash in an amount equal to the fair market value of one(1) share of common stock, on the settlement date noted in footnote (2) below. |
(2) | RSUs vest ratably over five years commencing on the first anniversary of the date of grant and, to the extent unvested, fully vest (i) if the director is not nominated for re-election or is not re-elected by the stockholders, or (ii) upon death. RSUs are settled in cash or common stock, in the discretion of the Compensation Committee, upon the earlier of the tenth anniversary of the grant date (or the tenth anniversary of the first vesting date, for RSUs granted in 2016-2018), or termination of service. or termination of service as a director. |
(3) | The RSUs were received by the Reporting Person for no consideration. |
(4) | The transaction represents settlement of fully-vested RSUs in shares of common stock pursuant to the terms of a 2009 Restricted Stock Unit Agreement. |