Initial Statement of Beneficial Ownership (3)
October 01 2015 - 5:25PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Higdon Charles Andrew
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/23/2015
|
3. Issuer Name
and
Ticker or Trading Symbol
APARTMENT INVESTMENT & MANAGEMENT CO [AIV]
|
(Last)
(First)
(Middle)
4582 S. ULSTER STREET, SUITE 1100
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Senior Vice President - CAO /
|
(Street)
DENVER, CO 80237
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Class A Common Stock
|
1670
|
D
|
|
Class A Common Stock
|
529
|
I
|
Held through a 401(k) plan, which information is based on a plan statement dated 9-29-2015
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Class A Cumulative Preferred Stock
|
(1)
|
(2)
|
Class A Common Stock
|
(1)
|
(1)
|
D
|
|
Explanation of Responses:
|
(
1)
|
The reporting person holds 380 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.
|
(
2)
|
No Expiration Date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Higdon Charles Andrew
4582 S. ULSTER STREET
SUITE 1100
DENVER, CO 80237
|
|
|
Senior Vice President - CAO
|
|
Signatures
|
Charles Andrew Higdon
|
|
9/29/2015
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Apartment Investment and... (NYSE:AIV)
Historical Stock Chart
From Mar 2024 to Apr 2024
Apartment Investment and... (NYSE:AIV)
Historical Stock Chart
From Apr 2023 to Apr 2024