UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option | Â (1) | 09/17/2020 | Common Stock | 44,251 | $ 16.5645 | D | Â |
Employee Stock Option | Â (2) | 09/17/2020 | Common Stock | 88,562 | $ 16.5645 | D | Â |
Employee Stock Option | Â (3) | 09/30/2020 | Common Stock | 965 | $ 17.9548 | D | Â |
Employee Stock Option | Â (2) | 09/30/2020 | Common Stock | 1,992 | $ 17.9548 | D | Â |
Employee Stock Option | Â (4) | 01/04/2021 | Common Stock | 905 | $ 18.6222 | D | Â |
Employee Stock Option | Â (2) | 01/04/2021 | Common Stock | 1,811 | $ 18.6222 | D | Â |
Employee Stock Option | Â (5) | 10/28/2021 | Common Stock | 2,414 | $ 18.8658 | D | Â |
Employee Stock Option | Â (2) | 10/28/2021 | Common Stock | 4,829 | $ 18.8658 | D | Â |
Employee Stock Option | Â (6) | 02/10/2022 | Common Stock | 36,704 | $ 18.8658 | D | Â |
Employee Stock Option | Â (2) | 02/10/2022 | Common Stock | 73,409 | $ 18.8658 | D | Â |
Employee Stock Option | Â (7) | 03/28/2022 | Common Stock | 6,278 | $ 18.6543 | D | Â |
Employee Stock Option | Â (2) | 03/28/2022 | Common Stock | 12,556 | $ 18.6543 | D | Â |
Employee Stock Option | Â (8) | 07/24/2022 | Common Stock | 5,372 | $ 18.6505 | D | Â |
Employee Stock Option | Â (2) | 07/24/2022 | Common Stock | 10,745 | $ 18.6505 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'Neill Donna M. C/O AVIV REIT, INC., 303 W. MADISON SUITE 2400 CHICAGO, IL 60606 |
 |  |  Chief Accounting Officer |  |
/s/ Samuel H. Kovitz, as attorney-in-fact | 03/20/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These options vest in 25% increments on each of the first four anniversaries of September 17, 2010 and shall vest in full upon a liquidity event, including the initial public offering of the common stock of Aviv REIT, Inc. (the "IPO"). |
(2) | These options vest upon a liquidity event, including the IPO, if certain performance thresholds are achieved. |
(3) | These options vest in 25% increments on each of the first four anniversaries of September 30, 2010 and shall vest in full upon a liquidity event, including the IPO. |
(4) | These options vest in 25% increments on each of the first four anniversaries of January 4, 2011 and shall vest in full upon a liquidity event, including the IPO. |
(5) | These options vest in 25% increments on each of the first four anniversaries of October 28, 2011 and shall vest in full upon a liquidity event, including the IPO. |
(6) | These options vest in 25% increments on each of the first four anniversaries of February 10, 2012 and shall vest in full upon a liquidity event, including the IPO. |
(7) | These options vest in 25% increments on each of the first four anniversaries of March 28, 2012 and shall vest in full upon a liquidity event, including the IPO. |
(8) | These options vest in 25% increments on each of the first four anniversaries of July 24, 2012 and shall vest in full upon a liquidity event, including the IPO. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |