0001209191-15-065157.txt : 20150811 0001209191-15-065157.hdr.sgml : 20150811 20150811143953 ACCESSION NUMBER: 0001209191-15-065157 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150807 FILED AS OF DATE: 20150811 DATE AS OF CHANGE: 20150811 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASSOCIATED ESTATES REALTY CORP CENTRAL INDEX KEY: 0000911635 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 341747603 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 AEC PARKWAY CITY: RICHMOND HEIGHTS STATE: OH ZIP: 44143-1550 BUSINESS PHONE: 2162615000 MAIL ADDRESS: STREET 1: 1 AEC PARKWAY CITY: RICHMOND HEIGHTS STATE: OH ZIP: 44143-1550 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRIEDMAN JEFFREY I CENTRAL INDEX KEY: 0000940542 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12486 FILM NUMBER: 151043557 MAIL ADDRESS: STREET 1: 5025 SWETLAND COURT CITY: CLEVELAND STATE: OH ZIP: 44143 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-08-07 1 0000911635 ASSOCIATED ESTATES REALTY CORP AEC 0000940542 FRIEDMAN JEFFREY I 1 AEC PARKWAY RICHMOND HEIGHTS OH 44143-1467 1 1 0 0 Chairman, President & CEO Common Shares, without par value 2015-08-07 4 D 0 5685 28.75 D 0 I Family Charitable Trust Common Shares, without par value 2015-07-01 5 G 0 E 14647 0.00 D 363874 D Common Shares, without par value 2015-07-02 5 G 0 E 13873 0.00 D 350001 D Common Shares, without par value 2015-08-07 4 D 0 350001 28.75 D 0 D Common Shares, without par value 2015-07-01 5 G 0 E 1000 0.00 D 100000 I By wife Common Shares, without par value 2015-08-07 4 D 0 100000 28.75 D 0 I By wife Common Shares, without par value 2015-08-07 4 D 0 21823.3152 28.75 D 0 I 401(k) Deferred Share Units 2015-08-07 4 D 0 279380 28.75 D Common Share 279380 0 D Employee Stock Options 15.29 2015-08-07 4 D 0 61286 13.46 D 2022-02-15 Common Shares 61286 0 D Empoyee Stock Options 11.26 2015-08-07 4 D 0 125000 17.49 D 2016-02-27 Common Shares 125000 0 D Disposed of pursuant to a merger agreement among the Issuer, BSREP II Aries Pooling LLC and BSREP II Aries DE Merger Sub Inc. in exchange for the right to receive $28.75 in cash per share. Balance as of August 6, 2015 Deferred compensation held under the Issuer's deferred compensation plans ("DSUs"). Each DSU was the economic equivalent of one Issuer common share, and were initially payable pursuant to the Reporting Person's deferred compensation elections. Includes DSUs acquired pursuant to dividend reinvestment. Disposed of pursuant to a merger agreement among the Issuer, BSREP II Aries Pooling LLC and BSREP II Aries DE Merger Sub Inc. in exchange for the right to receive $28.75 in cash per DSU. Options were fully vested. Disposed of pursuant to a merger agreement among the Issuer, BSREP II Aries Pooling LLC and BSREP II Aries DE Merger Sub Inc. in exchange for the right to receive $13.46 per share underlying the stock options, representing the spread between the exercise price and the merger price of $28.75 per share. Disposed of pursuant to a merger agreement among the Issuer, BSREP II Aries Pooling LLC and BSREP II Aries DE Merger Sub Inc. in exchange for the right to receive $17.49 per share underlying the stock options, representing the spread between the exercise price and the merger price of $28.75 per share. /s/ Sue Bozek, as Attorney-In-Fact 2015-08-11