Statement of Changes in Beneficial Ownership (4)
January 17 2020 - 4:52PM
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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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
*
Haddad Emile |
2. Issuer Name and Ticker or Trading Symbol
Five Point Holdings, LLC
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FPH
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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) See Remarks |
(Last)
(First)
(Middle)
C/O FIVE POINT HOLDINGS, LLC, 15131 ALTON PARKWAY, 4TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/15/2020 |
(Street)
IRVINE, CA 92618
(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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Class A common shares | 1/15/2020 | | A | | 154511 (1) | A | $0.00 | 1265571 | D | |
Class A common shares | 1/15/2020 | | M | | 283099 | A | (2) | 1548670 | D | |
Class A common shares | 1/15/2020 | | F | | 218054 | D | $8.09 | 1330616 | D | |
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 |
Restricted share units | (2) | 1/15/2020 | | M | | | 283099 | (3) | (3) | Class A common shares | 283099 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Includes 154,511 Class A common shares subject to certain restrictions upon transfer and rights of forfeiture that will lapse based on continued service. |
(2) | Each restricted share unit is a contingent right to receive one Class A common share. |
(3) | On August 1, 2016, the reporting person was granted such restricted share units pursuant to the Five Point Holdings, LLC 2016 Incentive Award Plan. Such restricted share units have vested. 283,099 restricted share units settled on a one-for-one basis in Class A common shares on January 15, 2020. |
Remarks: Chairman, President and Chief Executive Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Haddad Emile C/O FIVE POINT HOLDINGS, LLC 15131 ALTON PARKWAY, 4TH FLOOR IRVINE, CA 92618 | X |
| See Remarks |
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Signatures
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/s/ Michael Alvarado, as attorney-in-fact | | 1/17/2020 |
**Signature of Reporting Person | Date |
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