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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 | ||||||||
Common Units | (3) | 12/27/2012 | G | V | 9,650 (4) | (5) | 11/23/2043 | Common Stock | 9,650 | $ 0 | 9,650 | I (2) | By Trust | ||
Common Units | (3) | 12/27/2012 | G | V | 7,431 (4) | (5) | 11/23/2043 | Common Stock | 7,431 | $ 0 | 17,081 | I (2) | By Trust | ||
Common Units | (3) | (5) | 11/03/2043 | Common Stock | 756,350 | 756,350 | D | ||||||||
Common Units | (3) | (5) | 11/03/2043 | Common Stock | 15,729,378 | 15,729,378 | I (2) (6) | By Corporation | |||||||
Common Units | (3) | (5) | 11/03/2043 | Common Stock | 489,071 | 489,071 | I (2) (7) | By Partnership |
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 |
/s/ Charles B. Lebovitz | 02/13/2013 | |
**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) | Additionally, the Reporting Person owns, directly or indirectly, limited partnership interests in CBL & Associates Limited Partnership, a Delaware limited partnership (the Operating Partnership), that, together with the partnership interests of other limited partners in the Operating Partnership which are controlled by the Reporting Person, may be exchanged at any time for an aggregate of 16,991,880 shares of the Issuer's Common Stock (on a one-for-one basis) or cash, at the Issuer's election. |
(2) | The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(3) | The Common Units are exerciseable on a 1 to 1 ratio with no exercise price. |
(4) | Gifts to Trusts f/b/o granchildren of the Reporting Person, for which the Reporting Person serves as Trustee. |
(5) | Immediately exercisable. |
(6) | Includes 15,520,703 Common Units owned directly by CBL & Associates, Inc., a corporation controlled by the Reporting Person, and 208,675 Common Units owned by four general partnerships controlled by CBL & Associates, Inc. |
(7) | Common Units owned by College Station Associates, a general partnership controlled by the Reporting Person. |