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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PERLMUTTER ROBERT D THE MACERICH COMPANY 401 WILSHIRE BOULEVARD, SUITE 700 SANTA MONICA, CA 90401 |
Senior EVP and COO |
Thomas J. Leanse for ROBERT D. PERLMUTTER | 06/02/2016 | |
**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) | The reporting person is voluntarily reporting the acquisition of the issuer's common stock pursuant to the issuer's Employee Stock Purchase Plan ("ESPP") for the six month ESPP offering period ended May 31, 2016. This transaction is exempt pursuant to Rule 16b-3(c). |
(2) | In accordance with the ESPP, the shares were purchased at a 15% discount from the closing price of the issuer's common stock on May 31, 2016. |
(3) | Represents shares withheld by the issuer to satisfy tax withholding obligations in connection with the reporting person's acquisition of shares pursuant to the ESPP on May 31, 2016. |
(4) | The sales reported were automatic pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 9, 2016. |
(5) | The sales price ranged from $76.19 to $76.72. |
(6) | In addition, the reporting person holds the following limited partnership units in The Macerich Partnership, L.P., of which the issuer is the general partner, which are generally redeemable upon certain circumstances for an equal number of shares of The Macerich Company's common stock: 54,178 OP Units; 54,836 vested LTIP Units and 8,060 unvested service-based LTIP Units. |