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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 | ||||||||
Class B-1 common stock | (3) | 10/05/2012 | C | 1,108 | (3) | (3) | Class A common stock | 1,108 | (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kleifges James W 2901 BUTTEFIELD ROAD OAK BROOK, IL 60523 |
EVP, Chief Accounting Officer |
/s/ Dennis K. Holland, attorney in fact | 10/10/2012 | |
**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) | In March 2012, Retail Properties of America, Inc. (the "Company") effectuated a 10 to 1 reverse stock split of its then outstanding common stock, redesignated all of its common stock as Class A common stock, and subsequently paid a stock dividend pursuant to which each outstanding share of Class A common stock received one share each of Class B-1, Class B-2, and Class B-3 common stock. The net result of these actions resulted in each previously outstanding share of Company common stock being converted into 1/10 of a share of each of Class A, Class B-1, Class B-2, and Class B-3 common stock of the Company and each option to purchase a previously outstanding share of Company common stock being converted into an option to purchase 1/10 of a share of each of Class A, Class B-1, Class B-2, and Class B-3 common stock of the Company. |
(2) | Converted from shares of Class B-1 common stock into Class A common stock on a one-for-one basis. |
(3) | The Class B-1 common stock automatically converted into Class A common stock on October 5, 2012 on a one-for-one basis. |