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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 | ||||||||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 18,714,651 | 11/09/2010 | 11/09/2017 | Common Stock | 24,063,298 | $ 0 | 0 | I | see footnote (1) (19) | |||
Warrants to acquire Common Stock | $ 8.1678 (21) | 10/06/2017 | M | 16,428,571 | 11/09/2010 | 11/09/2017 | Common Stock | 21,123,856 | $ 0 | 0 | I | see footnote (2) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 64,209 | 11/09/2010 | 11/09/2017 | Common Stock | 82,559 | $ 0 | 0 | I | see footnote (3) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 73,653 | 11/09/2010 | 11/09/2017 | Common Stock | 94,703 | $ 0 | 0 | I | see footnote (4) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 1,139,373 | 11/09/2010 | 11/09/2017 | Common Stock | 1,465,005 | $ 0 | 0 | I | see footnote (5) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 16,996 | 11/09/2010 | 11/09/2017 | Common Stock | 21,853 | $ 0 | 0 | I | see footnote (6) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 387,205 | 11/09/2010 | 11/09/2017 | Common Stock | 497,868 | $ 0 | 0 | I | see footnote (7) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 387,205 | 11/09/2010 | 11/09/2017 | Common Stock | 497,868 | $ 0 | 0 | I | see footnote (8) (19) | |||
Warrants to acquire Common Stock | $ 8.3621 (20) | 10/06/2017 | M | 22,222,290 | 11/09/2010 | 11/09/2017 | Common Stock | 28,573,419 | $ 0 | 0 | D (10) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brookfield BPY Retail Holdings I LLC 250 VESEY STREET NEW YORK, NY 10281-1023 |
X | X | Director by deputization*** | |
1706065 Alberta ULC 335 8TH AVENUE SW, SUITE 1700 CALGARY, A0 T2P 1C9 |
X | X | Director by deputization | |
Brookfield Holding Ltd Liability Co BUDAPEST 1074 DOHANY UTCA 12 BUDAPEST, K5 1074 |
X | X | Director by deputization | |
Brookfield Properties, Inc. BROOKFIELD PLACE 250 VESEY STREET NEW YORK, NY 10281-1023 |
X | X | Director by deputization | |
BOP (US) LLC BROOKFIELD PLACE 250 VESEY STREET NEW YORK, NY 10281-1023 |
X | X | Director by deputization | |
Brookfield Properties Subco LLC BROOKFIELD PLACE 250 VESEY STREET NEW YORK, NY 10281-1023 |
X | X | Director by deputization |
BROOKFIELD BPY RETAIL HOLDINGS I LLC, /s/ Michelle L. Campbell, Senior Vice President and Secretary | 10/11/2017 | |
**Signature of Reporting Person | Date | |
1706065 ALBERTA ULC, /s/ Keith Hyde, Vice President, Taxation | 10/11/2017 | |
**Signature of Reporting Person | Date | |
BROOKFIELD HOLDING LIMITED LIABILITY COMPANY, /s/ Dr. Laszlo Csontos, Managing Director | 10/11/2017 | |
**Signature of Reporting Person | Date | |
BROOKFIELD PROPERTIES, INC., /s/ Michelle L. Campbell, Senior Vice President and Secretary | 10/11/2017 | |
**Signature of Reporting Person | Date | |
BOP (US) LLC, /s/ Michelle L. Campbell, Senior Vice President and Secretary | 10/11/2017 | |
**Signature of Reporting Person | Date | |
BROOKFIELD PROPERTIES SUBCO LLC, /s/ Michelle L. Campbell, Senior Vice President and Secretary | 10/11/2017 | |
**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) | See Exhibit 99.1; Note 1. |
(2) | See Exhibit 99.1; Note 2. |
(3) | See Exhibit 99.1; Note 3. |
(4) | See Exhibit 99.1; Note 4. |
(5) | See Exhibit 99.1; Note 5. |
(6) | See Exhibit 99.1; Note 6. |
(7) | See Exhibit 99.1; Note 7. |
(8) | See Exhibit 99.1; Note 8. |
(9) | See Exhibit 99.1; Note 9. |
(10) | See Exhibit 99.1; Note 10. |
(11) | See Exhibit 99.1; Note 11. |
(12) | See Exhibit 99.1; Note 12. |
(13) | See Exhibit 99.1; Note 13. |
(14) | See Exhibit 99.1; Note 14. |
(15) | See Exhibit 99.1; Note 15. |
(16) | See Exhibit 99.1; Note 16. |
(17) | See Exhibit 99.1; Note 17. |
(18) | See Exhibit 99.1; Note 18. |
(19) | See Exhibit 99.1; Note 19. |
(20) | See Exhibit 99.1; Note 20. |
(21) | See Exhibit 99.1; Note 21. |
Remarks: *** Brian Kingston, a Senior Managing Partner of Brookfield Asset Management Inc., a corporation formed under the laws of the Province of Ontario ("BAM"), serves on the board of directors of the Issuer as a representative of BAM and certain of its affiliates, including the Reporting Persons. The Reporting Persons are "directors by deputization" solely for purposes of Section 16 of the Securities Exchange Act of 1934. |