Amended Statement of Changes in Beneficial Ownership (4/a)
August 31 2020 - 7:05PM
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).
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
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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
*
LEBOVITZ CHARLES B |
2. Issuer Name and Ticker or Trading Symbol
CBL & ASSOCIATES PROPERTIES INC
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CBL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman of the Board |
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(Last)
(First)
(Middle)
2030 HAMILTON PLACE BLVD., SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/31/2020 |
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(Street)
CHATTANOOGA, TN 374216000
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/4/2020 |
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 | 7/31/2020 | | C | | 208675 | A | $0 (1) | 16764483.764 | I (2) | By Corporation |
| Common Stock | 7/31/2020 | | C | | 756350 | A | $0 (1) | 1030915.387 | D | |
| Common Stock | 7/31/2020 | | C | | 489071 | A | $0 (1) | 489071 | I (2) | By Partnership |
| Common Stock | | | | | | | | 26726.7746 (3) | I (2) | By Spouse |
| Common Stock | | | | | | | | 26052 | I (2) | By Trust |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Common Units | (4) | 7/31/2020 | | C | | | 208675 | (5) | 11/3/2043 | Common Stock | 208675 | (1) | 0 | I (2) | By Corporation |
| Common Units | (4) | 7/31/2020 | | C | | | 756350 | (5) | 11/3/2043 | Common Stock | 756350 | (1) | 0 | D | |
| Common Units | (4) | 7/31/2020 | | C | | | 489071 | (5) | 11/3/2043 | Common Stock | 489071 | (1) | 0 | I (2) | By Partnership |
| Explanation of Responses: |
| (1) | The Reporting Person redeemed units of limited partnership interest ("Units") of CBL Associates Limited Partnership, of which a wholly owned subsidiary of the issuer is the general partner. Units are redeemable for an equal number of shares of the issuer's Common Stock or, at the election of the issuer, cash equal to the fair market value of such shares. The issuer elected to redeem reporting person's Units with Common Stock. |
| (2) | The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| (3) | The corrected balance reflects cumulative errors in accounting for aggregate DRIP share additions over multiple periods prior to the last such transaction in May 2019 |
| (4) | The Common Units are exerciseable on a 1 to 1 ratio with no exercise price. |
| (5) | Immediately exercisable. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
LEBOVITZ CHARLES B
2030 HAMILTON PLACE BLVD., SUITE 500
CHATTANOOGA, TN 374216000 | X | X | Chairman of the Board |
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Signatures
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| /s/ Jeffery V. Curry, Attorney-in-fact for Charles B. Lebovitz | | 8/31/2020 |
| **Signature of Reporting Person | Date |
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