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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 | ||||||||
Option (Right to Buy) | $ 36.5 | 06/01/2011 | M | 1,720 | 01/15/2007(2) | 01/23/2016 | Common | 3,803 (2) | $ 0 (3) | 2,083 | D | ||||
Option (Right to Buy) | $ 45.73 | 06/01/2011 | M | 6,745 | 01/15/2008(4) | 01/22/2017 | Common | 11,279 (4) | $ 0 (3) | 4,534 | D | ||||
Option (Right to Buy) | $ 40.83 | 06/01/2011 | M | 8,438 | 01/15/2009(5) | 01/21/2018 | Common | 21,166 (5) | $ 0 (3) | 12,728 | D | ||||
Option (Right to Buy) | $ 37 | 06/01/2011 | M | 7,887 | 01/15/2011(6) | 01/29/2019 | Common | 31,547 (6) | $ 0 (3) | 23,660 | D | ||||
Option (Right to Buy) | $ 43.29 | 06/01/2011 | M | 4,756 | 01/15/2011(7) | 01/28/2020 | Common | 23,776 (7) | $ 0 (8) | 19,020 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HERMAN CHARLES J JR 4500 DORR STREET TOLEDO, OH 43615 |
EVP & Chief Investment Officer |
By: Erin C. Ibele Attorney-in-Fact For: Charles J. Herman, Jr. | 06/02/2011 | |
**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 shares are held by an Ohio limited liability company for which the reporting person is the sole manager and, as trustee for a revocable trust of the reporting person, the sole member. |
(2) | Options for the purchase of 10,684 shares of common stock at $36.50 per share were granted to Mr. Herman on January 23, 2006, which grant has previously been reported. The partial exercise of these options for the purchase of 6,881 shares has previously been reported. Of the remaining options, options for the purchase of 417 shares vested January 15 of each of 2007, 2008 and 2009, options for the purchase of 416 shares vested on January 15, 2010 and options for the purchase of 2,136 shares vested on January 15, 2011. |
(3) | The options were granted under the Health Care REIT, Inc. 2005 Long-Term Incentive Plan and had no acquisition price. |
(4) | Options for the purchase of 11,279 shares of common stock at $45.73 per share were granted to Mr. Herman on January 22, 2007, which grant has previously been report. Options for the purchase of 2,257 shares vested on January 15, 2008, options for the purchase of 2,256 shares vested on January 15 of each of 2009 and 2010, options for the purchase of 2,255 shares vested on January 15, 2011 and options for the purchase of 2,255 shares will vest on January 15, 2012. |
(5) | Options for the purchase of 25,386 shares of common stock at $40.83 per share were granted to Mr. Herman on January 21, 2008, which grant has previously been reported. The partial exercise of these options for the purchase of 4,220 shares has previously been reported. Of the remaining options, options for the purchase of 858 shares vested on January 15, 2009, options for the purchase of 5,077 shares vested on January 15 of each of 2010 and 2011 and options for the purchase of 5,077 shares will vest on January 15 of each of 2012 and 2013. |
(6) | Options for the purchase of 39,434 shares of common stock at $37.00 per share were granted to Mr. Herman on January 29, 2009, which grant has previously been reported. The partial exercise of these options for the purchase of 7,887 shares has previously been reported. Of the remaining options, options for the purchase of 7,887 shares vested on January 15, 2011 and options for the purchase of 7,887 shares will vest on January 15 of each of 2012 and 2013 and options for the purchase of 7,886 shares will vest on January 15, 2014. |
(7) | Options for the purchase of 23,776 shares of common stock at $43.29 per share were granted to Mr. Herman on January 28, 2010, which grant has previously been reported. Options for the purchase of 4,756 shares vested on January 15, 2011 and options for the purchase of 4,755 shares will vest on January 15 of each of 2012, 2013, 2014 and 2015. |
(8) | The options were granted under the Amended and Restated Health Care REIT, Inc. 2005 Long-Term Incentive Plan and had no acquisition price. |