Statement of Changes in Beneficial Ownership (4)
01 Oktober 2021 - 01:34AM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * CONSIDINE TERRY |
2. Issuer Name and Ticker or Trading
Symbol APARTMENT INVESTMENT & MANAGEMENT CO [ AIV
] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
Director |
|
(Last)
(First)
(Middle)
4582 S. ULSTER STREET, SUITE 1700 |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/28/2021
|
|
(Street)
DENVER, CO 80237
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 |
|
Class A Common Stock (1) |
|
|
|
|
|
|
|
184745 (2)(3)(4) |
D |
|
|
Class A Common Stock |
|
|
|
|
|
|
|
34724 |
I |
See footnote (5) |
|
Class A Common Stock |
9/28/2021 |
|
P |
|
150000 |
A |
$6.8472 (6) |
1500000 |
I |
See footnote (7) |
|
Class A Common Stock |
9/29/2021 |
|
P |
|
16803 |
A |
$6.984 (8) |
1516803 |
I |
See footnote (7) |
|
Class A Common Stock |
9/30/2021 |
|
P |
|
138572 |
A |
$6.996 (9) |
1655375 |
I |
See footnote (7) |
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) |
Taking into account the
transactions reported on this form, Mr. Considine has an overall
equity stake in the company of 8,426,558 shares, partnership units,
and options, the details of which are more fully described in
footnotes 2, 3, 4, 5, and 7 below. |
| (2) |
The reporting person holds
184,745 shares directly. In addition, the reporting person holds
2,439,557 common partnership units and equivalents in AIMCO OP L.P.
("OP Units"). The 2,439,557 OP Units include 510,452 OP Units held
directly by the reporting person, 179,735 OP Units held by an
entity in which the reporting person has sole voting and investment
power, 1,591,672 OP Units held by Titahotwo Limited Partnership
RLLLP ("Titahotwo"), a registered limited liability limited
partnership for which the reporting person serves as the general
partner and holds a 0.5% ownership interest, and 157,698 OP Units
held by the reporting person's spouse, for which the reporting
person disclaims beneficial ownership except to the extent of his
pecuniary interest therein. The reporting person also holds 114,768
LTIP Units and 413,231 LTIP II Units. |
| (3) |
In addition, as part of his
overall equity stake, the reporting person holds 2,833,601 unvested
OP Units, the vesting of which are subject to certain performance
criteria. Upon conclusion of the performance period and depending
on the results thereof, the reporting person may vest in all, some
or none of the performance-based OP Units. |
| (4) |
In addition, as part of his
overall equity stake, the reporting person holds 750,557 stock
options, which are vested and exercisable. |
| (5) |
Held by the reporting
person's spouse, for which the reporting person disclaims
beneficial ownership except to the extent of his pecuniary interest
therein. |
| (6) |
This price is a weighted
average price. The price at which the shares were actually
purchased ranged from $6.76 to $6.92. The reporting person has
provided to the issuer and will provide to any security holder or
the staff of the Securities and Exchange Commission, upon request,
information regarding the number of shares purchased at each price
within the range. |
| (7) |
Held by a retirement plan
for which the reporting person is the trustee and the reporting
person's spouse is the sole participant in the plan. The reporting
person disclaims beneficial ownership except to the extent of his
pecuniary interest therein. |
| (8) |
This price is a weighted
average price. The price at which the shares were actually
purchased ranged from $6.98 to $7.00. The reporting person has
provided to the issuer and will provide to any security holder or
the staff of the Securities and Exchange Commission, upon request,
information regarding the number of shares purchased at each price
within the range. |
| (9) |
This price is a weighted
average price. The price at which the shares were actually
purchased ranged from $6.945 to $7.00. The reporting person has
provided to the issuer and will provide to any security holder or
the staff of the Securities and Exchange Commission, upon request,
information regarding the number of shares purchased at each price
within the range. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
CONSIDINE TERRY
4582 S. ULSTER STREET
SUITE 1700
DENVER, CO 80237 |
X |
|
Director |
|
Signatures
|
|
Terry Considine |
|
9/30/2021 |
| **Signature of Reporting
Person |
Date |
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