SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
Baumann Michael

(Last) (First) (Middle)
19950 WEST COUNTRY CLUB DRIVE, SUITE 800

(Street)
AVENTURA FL 33180

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/13/2013
3. Issuer Name and Ticker or Trading Symbol
Trade Street Residential, Inc. [ TSRE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 33,333 D(1)
Common Stock 52,868(2) I By Post Oak Partners, LLC
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Contingent Units(3) (3) (3) See footnote(3) (3) (3) D(1)
Class B Contingent Units(3) (3) (3) See footnote(3) (3) (3) I See footnote(4)
Explanation of Responses:
1. Held jointly with wife.
2. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
3. The Class B contingent units are convertible into common units of the Issuer's operating partnership, Trade Street Operating Partnership, LP (the "Operating Partnership"), upon the occurrence of certain contingencies described in the agreement of limited partnership of the Operating Partnership. The Operating Partnership's common units are redeemable for an equal number of the Issuer's shares of common stock or, at the election of the Issuer, cash equal to the fair market value of such shares.
4. The Class B Contingent Units being reported include (i) 70,298 Class B Contingent Units held by Trade Street Capital, LLC and (ii) 1,413 Class B Contingent Units held by Trade Street Adviser GP, Inc., which entities are indirectly controlled by the reporting person.
Remarks:
Exhibit 24 (the power of attorney) is filed as an exhibit to the Form 3.
/s/ Marija Sokolov, Attorney-in-Fact for Michael Baumann 05/13/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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