Statement of Changes in Beneficial Ownership (4)
22 Dezember 2021 - 10:57PM
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 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 * RADY
ERNEST S |
2. Issuer Name and Ticker or Trading
Symbol American Assets Trust, Inc. [ AAT ] |
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 & CEO |
(Last)
(First)
(Middle)
3420 CARMEL MOUNTAIN ROAD, SUITE 100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/20/2021
|
(Street)
SAN DIEGO, CA 92121
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock, par value
$0.01 |
12/20/2021 |
|
P |
|
600 |
A |
$34.30 |
1938174 |
I |
By AAI (1) |
Common Stock, par value
$0.01 |
12/21/2021 |
|
P |
|
3369 |
A |
$35.84 |
1941543 |
I |
By AAI (1) |
Common Stock, par value
$0.01 |
12/22/2021 |
|
P |
|
17107 |
A |
$36.15 |
1958650 |
I |
By AAI (1) |
Common Stock, par value
$0.01 |
|
|
|
|
|
|
|
6463919 |
I |
By ERT (2) |
Common Stock, par value
$0.01 |
|
|
|
|
|
|
|
1265336 |
I |
By ICW (3) |
Common Stock, par value
$0.01 |
|
|
|
|
|
|
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719341 |
I |
By RF (4) |
Common Stock, par value
$0.01 |
|
|
|
|
|
|
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200000 |
I |
By EIC (5) |
Common Stock, par value
$0.01 |
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|
|
|
|
|
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92495 |
I |
By ESRT (6) |
Common Stock, par value
$0.01 |
|
|
|
|
|
|
|
284268 |
D (7) |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
Explanation of
Responses: |
(1) |
Represents shares held by
American Assets, Inc. ("AAI"), which is directly controlled by the
Reporting Person. The Reporting Person disclaims beneficial
ownership of such shares, except to the extent of his pecuniary
interest therein. |
(2) |
Represents shares held by
Ernest Rady Trust U/D/T March 10, 1983 ("ERT"), for which the
Reporting Person is the trustee. The Reporting Person disclaims
beneficial ownership of such shares, except to the extent of his
pecuniary interest therein. |
(3) |
Represents shares held by
Insurance Company of the West ("ICW"), which is directly controlled
by the Reporting Person. The Reporting Person disclaims beneficial
ownership of such shares, except to the extent of his pecuniary
interest therein. |
(4) |
Represents shares held by
Rady Foundation ("RF"), which is directly controlled by the
Reporting Person. The Reporting Person disclaims beneficial
ownership of such shares, except to the extent of his pecuniary
interest therein. |
(5) |
Represents shares held by
Explorer Insurance Company ("EIC"), which is directly controlled by
the Reporting Person. The Reporting Person disclaims beneficial
ownership of such shares, except to the extent of his pecuniary
interest therein. |
(6) |
Represents shares held by
Evelyn Shirley Rady Trust U/D/T March 10, 1983 ("ESRT"), for which
the Reporting Person is the trustee. The Reporting Person disclaims
beneficial ownership of such shares, except to the extent of his
pecuniary interest therein. |
(7) |
Amount includes (a) 66,680
shares held by Ernest Rady IRA and (b) 188,659 shares of restricted
common stock issued pursuant to the American Assets Trust, Inc. and
American Assets Trust, L.P. Amended and Restated 2011 Equity
Incentive Award Plan. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
RADY ERNEST S
3420 CARMEL MOUNTAIN ROAD
SUITE 100
SAN DIEGO, CA 92121 |
X |
X |
Chairman & CEO |
|
Signatures
|
/s/ Adam Wyll, Attorney-in-fact |
|
12/22/2021 |
**Signature of
Reporting Person |
Date |
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