0001144204-15-033571.txt : 20150527 0001144204-15-033571.hdr.sgml : 20150527 20150527060346 ACCESSION NUMBER: 0001144204-15-033571 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150415 FILED AS OF DATE: 20150527 DATE AS OF CHANGE: 20150527 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: New York REIT, Inc. CENTRAL INDEX KEY: 0001474464 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 271065431 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 405 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 415 6500 MAIL ADDRESS: STREET 1: 405 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN REALTY CAPITAL NEW YORK RECOVERY REIT INC DATE OF NAME CHANGE: 20091014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Happel Michael A. CENTRAL INDEX KEY: 0001548254 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36416 FILM NUMBER: 15890865 MAIL ADDRESS: STREET 1: 405 PARK AVE., 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 v411713_4.xml OWNERSHIP DOCUMENT X0306 4 2015-04-15 0 0001474464 New York REIT, Inc. NYRT 0001548254 Happel Michael A. 405 PARK AVE., 14TH FLOOR NEW YORK NY 10022 0 1 0 0 CEO & President Common Stock 2015-05-22 4 P 0 23000 9.0425 A 43000 D Common Stock 20000 I see footnote Operating Partnership Units 0 2014-04-15 4 J 0 237733 A Common Stock 237733 237733 D Operating Partnership Units Common Stock 588614 D New York Recovery Advisors, LLC (the "Advisor") was entitled to a "profits interest" in the form of Class B Units in the New York Recovery Operating Partnership, L.P. (the "Operating Partnership") in connection with its asset management services. Upon the listing of the issuer's shares of common stock on the New York Stock Exchange on April 15, 2014, each outstanding Class B Unit in the Operating Partnership was converted automatically into one OP Unit. The Advisor, which previously owned the reported securities, is controlled by American Realty Capital III, LLC ("ARC III"). The reporting person directly or indirectly owns equity interests of ARC III. On April 15, 2014, the Advisor subsequently distributed the OP Units pro rata to the members of ARC III. As a result, the reporting person received 237,733 OP units and now owns the OP Units directly. The Advisor no longer holds any OP Units directly. OP Units are exchangeable for cash or, at the option of the Operating Partnership, shares of the Company's common stock on a one-to-one basis. OP Units are exchangeable, except under certain limited circumstances, beginning one year from the date of issuance, which includes the holding period of any units that were converted into OP Units and have no expiration date. Terms of the 588,614 OP Units were previously reported and described on the reporting person's Form 4 filed on December 5, 2014. New York Recovery Limited Partnership, LLC, which owns the reported securities, is controlled by ARC III. The reporting person directly or indirectly owns equity interests in ARC III. The reporting person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. /s/ Michael A. Happel 2015-05-27