-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VZcdNycehmK2EjM/7rAnVjqYvNkiBSs6v/ZwjIMEFPrwOyvXxOI2I55fjcZ6Yt1g OKknpTta8NtUJ9Qw38rm7g== 0000906107-07-000074.txt : 20071127 0000906107-07-000074.hdr.sgml : 20071127 20071127152039 ACCESSION NUMBER: 0000906107-07-000074 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071126 FILED AS OF DATE: 20071127 DATE AS OF CHANGE: 20071127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EQUITY RESIDENTIAL CENTRAL INDEX KEY: 0000906107 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 363877868 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: EQUITY RESIDENTIAL STREET 2: 2 N RIVERSIDE PLAZA, STE 400 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129281178 MAIL ADDRESS: STREET 1: TWO N RIVERSIDE PLAZA STREET 2: SUITE 450 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: EQUITY RESIDENTIAL PROPERTIES TRUST DATE OF NAME CHANGE: 19930524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ZELL SAMUEL CENTRAL INDEX KEY: 0001024193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12252 FILM NUMBER: 071268871 BUSINESS ADDRESS: STREET 1: TWO N RIVERSIDE PLAZA SUITE 600 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3124540100 MAIL ADDRESS: STREET 1: TWO N RIVERSIDE PLAZA STREET 2: SUITE 600 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 doc.xml PRIMARY DOCUMENT X0202 4 2007-11-26 0000906107 EQUITY RESIDENTIAL EQR 0001024193 ZELL SAMUEL TWO NORTH RIVERSIDE PLAZA SUITE 600 CHICAGO IL 60606 1 0 0 1 Chairman of the Board Common Shares of Beneficial Interest 2007-11-26 4 M 0 10000 24.625 A 951983.0743 D Common Shares of Beneficial Interest 2007-11-26 4 M 0 600000 25.3438 A 1551983.0743 D Common Shares of Beneficial Interest 600 I By Spouse, Trustee for Helen Zell Revocable Trust Common Shares of Beneficial Interest 1206968 I Samstock, L.L.C. Common Shares of Beneficial Interest 22056 I Samuel Zell Revocable Trust Common Shares of Beneficial Interest 364750.911 I SERP Account Common Shares of Beneficial Interest 1246 I SZ JoAnn Trust Common Shares of Beneficial Interest 1246 I SZ Kellie Trust Common Shares of Beneficial Interest 1246 I SZ Matthew Trust Common Shares of Beneficial Interest 60000 I Zell Family Foundation Non-Qualified Stock Option (right to buy) 20.0938 2000-01-18 2009-01-18 Common Shares of Beneficial Interest 300000 300000 D Non-Qualified Stock Option (right to buy) 21.0625 2001-01-24 2010-01-24 Common Shares of Beneficial Interest 284866 284866 D Non-Qualified Stock Option (right to buy) 22.9688 2000-11-16 2010-05-16 Common Shares of Beneficial Interest 10000 10000 D Non-Qualified Stock Option (right to buy) 23.375 2001-05-17 2009-05-17 Common Shares of Beneficial Interest 10000 10000 D Non-Qualified Stock Option (right to buy) 23.55 2003-08-07 2013-02-07 Common Shares of Beneficial Interest 427632 427632 D Non-Qualified Stock Option (right to buy) 25.844 2002-01-18 2011-01-18 Common Shares of Beneficial Interest 232154 232154 D Non-Qualified Stock Option (right to buy) 25.865 2001-11-15 2011-05-15 Common Shares of Beneficial Interest 10000 10000 D Non-Qualified Stock Option (right to buy) 27.2 2003-01-17 2012-01-17 Common Shares of Beneficial Interest 303716 303716 D Non-Qualified Stock Option (right to buy) 29.25 2004-01-27 2014-01-27 Common Shares of Beneficial Interest 359518 359518 D Non-Qualified Stock Option (right to buy) 31.76 2005-02-03 2015-02-03 Common Shares of Beneficial Interest 307770 307770 D Non-Qualified Stock Option (right to buy) 42.8 2007-02-03 2017-02-03 Common Shares of Beneficial Interest 192545 192545 D Non-Qualified Stock Option (right to buy) 53.5 2017-02-08 Common Shares of Beneficial Interest 129798 129798 D Non-Qualified Stock Option (right to buy) 24.625 2007-11-26 4 M 0 10000 0 D 1998-05-14 2008-05-14 Common Shares of Beneficial Interest 10000 0 D Non-Qualified Stock Option (right to buy) 25.3438 2007-11-26 4 M 0 600000 0 D 1998-01-07 2008-01-07 Common Shares of Beneficial Interest 600000 0 D Operating Partnership Units 0 2002-01-10 2002-07-02 Common Shares of Beneficial Interest 1074514 1074514 I EGI Holdings, Inc. Operating Partnership Units 0 2002-01-10 2002-07-02 Common Shares of Beneficial Interest 1074512 1074512 I EGIL Investments, Inc. Operating Partnership Units 0 2002-01-10 2020-01-10 Common Shares of Beneficial Interest 1375690 1375690 I Samstock, L.L.C. Operating Partnership Units 0 2003-02-01 2013-02-01 Common Shares of Beneficial Interest 402 402 I Samstock/Alpha, LLC Operating Partnership Units 0 2002-01-10 2002-07-02 Common Shares of Beneficial Interest 400674 400674 I Samstock/SZRT, L.L.C. Operating Partnership Units 0 2002-01-10 2002-07-02 Common Shares of Beneficial Interest 652418 652418 I Samstock/ZFT, LLC Operating Partnership Units 0 2002-01-10 2002-07-02 Common Shares of Beneficial Interest 222340 222340 I Samstock/ZGPI, L.L.C. Operating Partnership Units 0 2002-01-10 2002-12-02 Common Shares of Beneficial Interest 62952 62952 I SZ Investments, LLC Shares reported herein are beneficially owned by the Helen Zell Revocable Trust (HZRT). Mr. Zell's spouse, Helen Zell, is the trustee of HZRT. Mr. Zell disclaims beneficial ownership of the shares reported as beneficially owned by him except to the extent of his pecuniary interest therein. Shares reported in this column are owned by AST Trust Company, as Trustee of the Equity Residential Supplemental Executive Retirement Plan, for the benefit of the reporting person. OP Units reported herein are beneficially owned by EGIL Investments, Inc.. Under a stockholder agreement dated December 31, 1999 among the Zell Trusts and the Lurie Trusts, the Lurie Trusts have the power to vote and dispose of the OP Units beneficially owned by EGIL Investments, Inc. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. Shares reported herein are beneficially owned by the SZ Matthew Trust (SZMT), of which Chai Trust Company, L.L.C. (Chai Trust) is the sole Trustee. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such shares. Mr. Zell is beneficiary of the SZMT and, as such, Mr. Zell may be deemed the beneficial owner of the shares reported herein. OP Units reported herein are beneficially owned by Samstock/ZFT, L.L.C. The sole member of Samstock/ZFT, L.L.C. is ZFT Partnership. The general partners of ZFT Partnership are certain Zell Trusts, the trustee of which is Chai Trust Company, L.L.C. (Chai Trust). Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such OP Units. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. Shares reported herein are beneficially owned by the Zell Family Foundation (Foundation). Mr. Zell is a director of the Foundation and does not have a pecuniary interest in such shares. Shares reported herein are beneficially owned by Samstock, L.L.C. (Samstock). The sole member of Samstock is SZ Investments, L.L.C. (SZ). The managing member of SZ is Zell General Partnership, Inc. (Zell GP). Sam Investment Trust (SIT) is the sole stockholder of Zell GP, and Chai Trust Company, L.L.C. (Chai Trust) is the trustee of SIT. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such shares. Mr. Zell disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Mr. Zell is sole trustee and beneficiary of the Samuel Zell Revocable Trust, and, as such, he may be deemed the beneficial owner of the shares reported herein. OP Units reported herein are beneficially owned by EGI Holdings, Inc. Under a stockholder's agreement dated December 31, 1999 among certain trusts established for the benefit of the family of Mr. Zell (the Zell Trusts) and certain trusts established for the benefit of the family of Ann and Robert Lurie (the Lurie Trusts), the Zell Trusts have the power to vote and dispose of the OP Units beneficially owned by EGI Holdings, Inc. Chai Trust Company, L.L.C. (Chai Trust) is the trustee of such Zell Trusts. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such OP Units. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. Shares reported herein are beneficially owned by the SZ JoAnn Trust (SZJT), of which Chai Trust Company, L.L.C. (Chai Trust) is the sole Trustee. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such shares. Mr. Zell is beneficiary of SZJT and, as such, Mr. Zell may be deemed the beneficial owner of the shares reported herein. Shares reported in this column include restricted shares of the Company scheduled to vest in the future along with 37,393.0743 shares acquired through dividend reinvestments. OP Units reported herein are beneficially owned by Samstock/ZGPI, L.L.C. The sole member of Samstock/ZGPI, L.L.C. is Zell General Partnership, Inc. (Zell GP). Sam Investment Trust (SIT) is the sole stockholder of Zell GP, and Chai Trust Company, L.L.C. (Chai Trust) is the trustee of SIT. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such OP Units. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. Share options reported on this line become exercisable in three equal installments on February 3, 2007, February 3, 2008 and February 3, 2009. OP Units reported herein are beneficially owned by SZ Investments, L.L.C. (SZ). The managing member of SZ is Zell General Partnership, Inc. (Zell GP). Sam Investment Trust (SIT) is the sole stockholder of Zell GP, and Chai Trust Company, L.L.C. (Chai Trust) is the trustee of SIT. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such OP Units. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. Share options reported on this line become exercisable in three equal installments on February 3, 2006; February 3, 2007 and February 3, 2008. Share options reported on this line become exercisable in three equal installments on February 8, 2008, February 8, 2009 and February 8, 2010. OP Units reported herein are beneficially owned by Samstock/Alpha, L.L.C. The sole member of Samstock/Alpha, L.L.C. is Alphabet Partners. The general partners of Alphabet Partners are certain Zell Trusts, the trustee of which is Chai Trust Company, L.L.C. (Chai Trust). Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such OP Units. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. OP Unit amount was overreported by 402 units on previous form filings. Shares reported herein are beneficially owned by the SZ Kellie Trust (SZKT), of which Chai Trust Company, L.L.C. (Chai Trust) is the sole Trustee. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such shares. Mr. Zell is beneficiary of the SZKT and, as such, Mr. Zell may be deemed the beneficial owner of the shares reported herein. OP Units reported herein are beneficially owned by Samstock/SZRT, L.L.C. The sole member of Samstock/SZRT, L.L.C. is the Samuel Zell Revocable Trust under trust agreement dated January 17, 1990. Mr. Zell is sole trustee and beneficiary of the Samuel Zell Revocable Trust. Share options reported on this line are fully exercisable. OP Units reported herein are beneficially owned by Samstock, L.L.C. (Samstock). The sole member of Samstock is SZ Investments, L.L.C. (SZ). The managing member of SZ is Zell General Partnership, Inc. (Zell GP). Sam Investment Trust (SIT) is the sole stockholder of Zell GP, and Chai Trust Company, L.L.C. (Chai Trust) is the trustee of SIT. Mr. Zell is not an officer or director of Chai Trust and does not have voting or dispositive power over such OP Units. Mr. Zell disclaims beneficial ownership of such OP Units except to the extent of his pecuniary interest therein. OP Unit amount was underreported by 402 units on previous form filings. By: Yasmina Duwe, Attorney-in-fact 2007-11-27 -----END PRIVACY-ENHANCED MESSAGE-----