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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 | |
Karst Jan F C/O W. P. CAREY INC. 50 ROCKEFELLER PLAZA NEW YORK, NY 10020 |
X |
/s/ James A. Fitzgerald, Attorney-in-fact | 10/12/2012 | |
**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) | Received in exchange for 90,164.936 shares of Corporate Property Associates 15 Incorporated ("CPA:15") common stock in connection with the merger of CPA:15 with and into a subsidiary of the Issuer. The most recent estimated net asset value of CPA:15's common stock was $10.40 per share, and the market value of the Issuer's common stock (based on the closing price of its predecessor's stock on the date of the merger) was $49 per share. |
(2) | Includes 752.89 shares previously acquired under the Issuer's Employee Stock Purchase Plan. |
(3) | Reflects an additional 300 shares received as a gift, prior to becoming a Reporting Person, that were not reflected in the previous filing. |
(4) | Received in exchange for 1,805.035 shares of Corporate Property Associates 15 Incorporated ("CPA:15") common stock in connection with the merger of CPA:15 with and into a subsidiary of the Issuer. The most recent estimated net asset value of CPA:15's common stock was $10.40 per share, and the market value of the Issuer's common stock (based on the closing price of its predecessor's stock on the date of the merger) was $49 per share. |
(5) | Includes 11.2361 shares acquired between 1/13/2012 and 7/16/2012 under the Issuer's dividend reinvestment plan. |
(6) | Includes 11.2537 shares acquired between 1/13/2012 and 7/16/2012 under the Issuer's dividend reinvestment plan. |
(7) | Includes 11.226 shares acquired between 1/13/2012 and 7/16/2012 under the Issuer's dividend reinvestment plan. |
Remarks: On September 28, 2012, W. P. Carey Inc. became the successor of W. P. Carey & Co. LLC pursuant to a merger. In the merger, shares of W. P. Carey & Co. LLC were exchanged for W. P. Carey Inc. stock on a one-for-one basis, with cash issued in lieu of any fractional shares. The Reporting Person is deemed to beneficially own more than 10% of the Issuer's outstanding Common Stock because he is a co-executor of an estate that owns more than 10% of the Issuer's outstanding Common Stock. |