Statement of Changes in Beneficial Ownership (4)
December 22 2015 - 2:12PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
OKLAK DENNIS D
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2. Issuer Name
and
Ticker or Trading Symbol
DUKE REALTY CORP
[
DRE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman and CEO
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(Last)
(First)
(Middle)
600 E. 96TH ST, #100
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/21/2015
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(Street)
INDIANAPOLIS, IN 46240
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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12/21/2015
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S
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14225
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D
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$21.00
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343234
(1)
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D
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Common Stock
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469
(2)
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Options-Right to Buy
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$34.13
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(3)
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2/10/2016
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Common Stock
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106015
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106015
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D
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Employee Stock Options-Right to Buy
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$47.88
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(4)
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2/10/2017
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Common Stock
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86987
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86987
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D
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Employee Stock Options-Right to Buy
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$23.34
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(5)
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2/10/2018
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Common Stock
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330594
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330594
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D
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Phantom Stock Units
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(6)
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(6)
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(6)
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Common Stock
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385999
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385999
(6)
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D
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Phantom Stock Units
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(7)
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(7)
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(7)
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Common Stock
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44636
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44636
(7)
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D
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Explanation of Responses:
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(
1)
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Between December 15, 2015 and December 22, 2015, the Reporting Person acquired 2,669 shares of DRE common stock through dividend reinvestment.
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(
2)
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Between December 15, 2015 and December 22, 2015, the Reporting Person acquired 4 shares of DRE's common stock under the Company's 401(k) plan.
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(
3)
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The Stock Options vested annually at a rate of 20% per year and were fully vested on 2/10/2011.
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(
4)
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The Stock Options vested annually at a rate of 20% per year and were fully vested on 2/10/2012.
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(
5)
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The Stock Options vested annually at a rate of 20% per year and were fully vested on 2/10/2013.
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(
6)
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Represents phantom stock units acquired under the Executives' Deferred Compensation Plan of Duke Realty Services Limited Partnership. Between December 15, 2015 and December 22, 2015, the Reporting Person acquired 3,701 shares of the Company's common stock through dividend reinvestment. The units are valued on a one to one basis to the Company's common stock and are to be settled in cash and/or stock upon the Reporting Person's termination of employment.
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(
7)
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Represents phantom stock units vested under the 2000 Performance Share Plan of Duke Realty Corporation. Between December 15, 2015 and December 22, 2015, the Reporting Person acquired 428 shares of the Company's common stock through dividend reinvestment. The units are valued on a one to one basis to the Company's common stock and are to be settled in stock upon the Reporting Person's termination of employment.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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OKLAK DENNIS D
600 E. 96TH ST, #100
INDIANAPOLIS, IN 46240
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X
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Chairman and CEO
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Signatures
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Tracy D. Swearingen for Dennis D. Oklak per POA prev. filed.
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12/22/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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