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Sec Form 4 Filing - Emmett Dan A @ Douglas Emmett Inc - 2019-11-21

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

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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
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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1. Name and Address of Reporting Person *
Emmett Dan A
2. Issuer Name and Ticker or Trading Symbol
Douglas Emmett Inc [ DEI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chairman of the Board
(Last)
(First)
(Middle)
1299 OCEAN AVENUE, SUITE 1000
3. Date of Earliest Transaction (MM/DD/YY)
11/21/2019
(Street)
SANTA MONICA, CA90401
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Partnership Common Units ( 1 ) ( 2 ) 11/21/2019 J( 3 ) 31,517 ( 4 ) ( 5 ) ( 5 ) Common Stock 31,517 ( 5 ) 3,460,780 ( 6 ) ( 7 ) D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Emmett Dan A
1299 OCEAN AVENUE
SUITE 1000
SANTA MONICA, CA90401
X Chairman of the Board
Signatures
/s/ Ben Orlanski by POA for Dan A. Emmett 11/25/2019
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Partnership common units ("OP Units") of Douglas Emmett Properties, LP, a Delaware limited partnership (the "Operating Partnership"). Issuer is the sole stockholder of the general partner of the Operating Partnership.
( 2 )Each OP Unit has an economic interest equivalent to one share of the Issuer's common stock ("Common Stock"). Upon the occurrence of certain events, OP Units are redeemable and may be exchanged, without consideration, by the holder for an equivalent number of shares of Common Stock or for the cash value of such shares, at Issuer's option.
( 3 )In connection with a recapitalization transaction (the "Transaction") of Douglas Emmett Fund X, LLC (the "Fund"), each of the direct and indirect minority investors in the Fund was given the opportunity to receive either cash or OP Units of the Operating Partnership in exchange for their direct or indirect interests in the Fund. Rivermouth Partners, L.P., a CA limited partnership ("Rivermouth") elected to receive the number of OP Units reported herein in lieu of cash. Reporting Person is president of the manager of the general partner of Rivermouth.
( 4 )OP Units acquired by Rivermouth in exchange for direct or indirect interests in the Fund in the Transaction described above.
( 5 )Not applicable.
( 6 )Reporting Person's derivative securities include (i) 3,460,780 OP Units of which 770,126 OP Units are held by certain trusts f/b/o Reporting Person's children and spouse (collectively, the "Family Trusts") of which Reporting Person is a trustee, and 31,517 are held by Rivermouth; and (ii) 4,855 LTIP Units granted under Issuer's 2016 Omnibus Stock Incentive Plan. Reporting Person disclaims beneficial ownership of OP Units held by the Family Trusts and Rivermouth, except to the extent of his pecuniary interest, if any, therein.
( 7 )Reporting Person also beneficially owns 1,127,561 shares of Common Stock held by the Dan A. Emmett Revocable Trust, and 66,000 shares of Common Stock held by the Family Trusts of which Reporting Person is a trustee with sole voting and dispositive power but disclaims beneficial ownership thereof.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.