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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 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 | |
KATZ A. AKIVA C/O BOW STREET LLC 595 MADISON AVENUE, 29TH FLOOR NEW YORK, NY 10022 |
X |
/s/ A. Akiva Katz | 07/06/2020 | |
**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) | On July 1, 2020, the Reporting person was granted 5,886 restricted shares of common stock, $0.01 par value (the "Common Stock"), pursuant to the 2013 Incentive Stock Plan of Mack-Cali Realty Corporation. The shares shall vest on the earlier to occur of (a) July 1, 2021, or (b) the date of the 2021 annual meeting of stockholders of Mack-Cali Realty Corporation. |
(2) | Shares of Common Stock owned directly by Bow Street Special Opportunities Fund XV, LP ("Bow Street Opportunities"). The Reporting Person, solely by virtue of his position as Managing Partner of Bow Street, LLC ("Bow Street"), the investment manager of Bow Street Opportunities, may be deemed to beneficially own the shares of Common Stock directly held by Bow Street Opportunities for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(3) | Shares of Common Stock owned directly by Minayot Acquisition LLC ("Minayot"). The Reporting Person, solely by virtue of his position as Managing Partner of Bow Street, the investment manager of Bow Street Opportunities and certain other private investment funds, including, pursuant to an investment management agreement between Bow Street and Minayot, may be deemed to beneficially own the shares of Common Stock directly held by Minayot for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |