0001127602-13-005363.txt : 20130211 0001127602-13-005363.hdr.sgml : 20130211 20130211170207 ACCESSION NUMBER: 0001127602-13-005363 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130207 FILED AS OF DATE: 20130211 DATE AS OF CHANGE: 20130211 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: TWO NORTH RIVERSIDE PLAZA, SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129281178 MAIL ADDRESS: STREET 1: TWO NORTH RIVERSIDE PLAZA STREET 2: SUITE 400 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: NEITHERCUT DAVID J CENTRAL INDEX KEY: 0001219726 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12252 FILM NUMBER: 13592731 MAIL ADDRESS: STREET 1: C/O EQUITY RESIDENTIAL STREET 2: TWO NORTH RIVERSIDE PLAZA, SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2013-02-07 0000906107 EQUITY RESIDENTIAL EQR 0001219726 NEITHERCUT DAVID J TWO NORTH RIVERSIDE PLAZA, SUITE 400 CHICAGO IL 60606 1 1 President & CEO Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 1624 0 D 36213 I Grantor Trust (fbo daughter) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 1624 0 A 107700.753 I Trust (fbo wife) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 1624 0 A 109324.753 I Trust (fbo wife) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 1624 0 D 36213 I Grantor Trust (fbo son) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 51 0 A 1133 I Trust (fbo wife) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 51 0 D 36162 I Grantor Trust (fbo daughter) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 51 0 A 1184 I Trust (fbo wife) Common Shares Of Beneficial Interest 2013-01-14 5 G 0 E 51 0 D 36162 I Grantor Trust (fbo son) Common Shares Of Beneficial Interest 2400.9011 I 401(k) Plan Common Shares Of Beneficial Interest 2874 I Family Limited Partnership Common Shares Of Beneficial Interest 2038.736 I SERP Account Non-qualified Stock Option (Right to Buy) 42.80 2012-09-28 5 G 0 E 125003 0 A 2016-02-03 Common Shares Of Beneficial Interest 125003 125003 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 42.80 2012-09-28 5 G 0 E 125003 0 D 2016-02-03 Common Shares Of Beneficial Interest 125003 0 D Non-qualified Stock Option (Right to Buy) 53.50 2012-09-28 5 G 0 E 90859 0 D 2017-02-08 Common Shares Of Beneficial Interest 90859 0 D Non-qualified Stock Option (Right to Buy) 53.50 2012-09-28 5 G 0 E 90859 0 A 2017-02-08 Common Shares Of Beneficial Interest 90859 90859 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 38.57 2012-09-28 5 G 0 E 125309 0 D 2018-02-07 Common Shares Of Beneficial Interest 125309 0 D Non-qualified Stock Option (Right to Buy) 38.57 2012-09-28 5 G 0 E 125309 0 A 2018-02-07 Common Shares Of Beneficial Interest 125309 125309 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 23.07 2012-09-28 5 G 0 E 340238 0 A 2019-02-06 Common Shares Of Beneficial Interest 340238 340238 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 23.07 2012-09-28 5 G 0 E 340238 0 D 2019-02-06 Common Shares Of Beneficial Interest 340238 0 D Non-qualified Stock Option (Right to Buy) 32.97 2012-09-28 5 G 0 E 201382 0 D 2020-02-05 Common Shares Of Beneficial Interest 201382 0 D Non-qualified Stock Option (Right to Buy) 32.97 2012-09-28 5 G 0 E 201382 0 A 2020-02-05 Common Shares Of Beneficial Interest 201382 201382 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 53.71 2012-09-28 5 G 0 E 171250 0 A 2021-02-07 Common Shares Of Beneficial Interest 171250 171250 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 53.71 2012-09-28 5 G 0 E 171250 0 D 2021-02-07 Common Shares Of Beneficial Interest 171250 0 D Non-qualified Stock Option (Right to Buy) 53.13 2012-09-28 5 G 0 E 435078 0 D 2016-02-01 2021-09-23 Common Shares Of Beneficial Interest 435078 0 D Non-qualified Stock Option (Right to Buy) 53.13 2012-09-28 5 G 0 E 435078 0 A 2016-02-01 2021-09-23 Common Shares Of Beneficial Interest 435078 435078 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 60.25 2012-09-28 5 G 0 E 235269 0 D 2022-02-03 Common Shares Of Beneficial Interest 235269 0 D Non-qualified Stock Option (Right to Buy) 60.25 2012-09-28 5 G 0 E 235269 0 A 2022-02-03 Common Shares Of Beneficial Interest 235269 235269 I Family Limited Partnership Non-qualified Stock Option (Right to Buy) 54.82 2013-02-07 4 A 0 144398 0 A 2023-02-07 Common Shares Of Beneficial Interest 144398 144398 D LTIP Units 2013-02-07 4 A 0 62427 0 A 2023-02-07 Operating Partnership Units 62427 62427 D Represents shares beneficially owned by a trust for the benefit of the reporting person's daughter. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Represents shares beneficially owned by a trust for the benefit of the reporting person's wife. The reporting person is the sole trustee of this trust and, as such, may be deemed the beneficial owner of these shares. Represents shares beneficially owned by a trust for the benefit of the reporting person's son. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Represents shares beneficially owned by a trust for the benefit of the reporting person's wife. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Represents shares acquired through profit sharing contributions and dividend reinvestment activity in the reporting person's account with the Equity Residential Advantage 401(k) Retirement Savings Plan, a plan qualified under Section 401(k) of the Internal Revenue Code of 1986, as amended. Such shares represent acquisitions through January 11, 2013. Represents shares beneficially owned by a family limited partnership, of which the reporting person is the general partner. Represents shares owned by Principal Trust Company, as Trustee of the Equity Residential Supplemental Executive Retirement Plan, for the benefit of the reporting person. Represents share options scheduled to vest in approximately three equal installments on February 3, 2007, February 3, 2008 and February 3, 2009. The reporting person transferred these options to a family partnership, of which the reporting person is the general partner. Represents share options scheduled to vest in approximately three equal installments on February 8, 2008, February 8, 2009 and February 8, 2010. Represents share options scheduled to vest in approximately three equal installments on February 7, 2009, February 7, 2010 and February 7, 2011. Represents share options scheduled to vest in approximately three equal installments on February 6, 2010, February 6, 2011 and February 6, 2012. Represents share options scheduled to vest in approximately three equal installments on February 5, 2011, February 5, 2012 and February 5, 2013. Represents share options scheduled to vest in approximately three equal installments on February 7, 2012, February 7, 2013 and February 7, 2014. Represents share options scheduled to vest in three equal installments on February 3, 2013, February 3, 2014 and February 3, 2015. Represents share options scheduled to vest in approximately three equal installments on February 7, 2014, February 7, 2015 and February 7, 2016. On February 7, 2013, the reporting person received a grant of restricted limited partnership interests ("LTIP Units") in ERP Operating Limited Partnership (the "Operating Partnership"), the operating partnership of Equity Residential (the "Company"), in lieu of restricted shares of the Company as part of the Company's annual grant of long-term compensation. LTIP Units are a class of partnership interest that automatically convert into an equal number of limited partnership interests of the Operating Partnership ("OP Units") when the capital account related to the LTIP Units reaches a specified target for federal income tax purposes (provided such target is reached within ten years of issuance). Subject to any vesting requirements of the grant, OP Units are redeemable by the holder for common shares of the Company on a one-for-one basis or the cash value of such shares, at the Company's option. The LTIPs reflected in this report also include any OP Units into which such LTIP Units automatically convert. The LTIP Units are scheduled to vest on February 7, 2016. s/ By: Jane Matz, Attorney-in-fact 2013-02-11