-----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, BHh/0zSsezFmSwx9DVDwoqY26YUh3a6SeC38rD2T2t+wtoTHNKpBAP4iYRoUicEn CU1JNnuND8Gdin+mXrF6dA== 0000914121-00-000158.txt : 20000211 0000914121-00-000158.hdr.sgml : 20000211 ACCESSION NUMBER: 0000914121-00-000158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESSEX PROPERTY TRUST INC CENTRAL INDEX KEY: 0000920522 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 770369576 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13106 FILM NUMBER: 531848 BUSINESS ADDRESS: STREET 1: 925 EAST MEADOW DR CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 6504943700 MAIL ADDRESS: STREET 1: 925 EAST MEADOW DRIVE CITY: PALO ALTO STATE: CA ZIP: 94303 COMPANY DATA: COMPANY CONFORMED NAME: HARTMAN GREGORY J CENTRAL INDEX KEY: 0001059767 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 777 CALIFORNIA AVE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 4154387920 MAIL ADDRESS: STREET 1: 777 CALIFORNIA AVE CITY: PALO ALTO STATE: CA ZIP: 94304 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP - ------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------ FORM 4 Washington, D.C. 20549 OMB Approval - ------------------------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ [X] Check this box if no OMB Number: 3235-0287 longer subject to Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Expires: December 31, 2001 Section 16. Form 4 Section 17(a) of the Public Utility Holding Company Act of 1935 or Estimated average burden or Form 5 obligations Section 30(f) of the Investment Company Act of 1940 hours per response.......0.5 may continue. See ------------------------------ Instruction 1(b).
(Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker 4. Statement for 6. Relationship of Reporting Person(s) or Trading Symbol Month/Year to Issuer (Check all applicable) Hartman Gregory J. Essex Property Trust, 1/2000 [ ] Director [ ] 10% Owner ------------------------------------ Inc. -- ESS [ ] Officer (give [X] Other (Last) (First) (Middle) title below) (specify below) Former Director (1) 345 California Street, Suite 3450 --------------------------------------- ------------------------------------ ----------------------------------------------------------------------------------------- (Street) 3. I.R.S. Identification 5. If Amendment, 7. Individual or Joint/Group Filing Number of Reporting Date of (Check Applicable Line) Person, if an entity Original [X] Form Filed by One Reporting Person San Francisco California 94104 (Voluntary) (Month/Year) [ ] Form Filed by More than One ------------------------------------ Reporting Person (City) (State) (Zip) - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action Code (Instr. or Disposed of (D) Securities Form: Indirect Date 8) (Instr. 3, 4 and 5) Beneficially Direct (D) Beneficial (Month/ Owned at End or Indirect Ownership Day/ of Month (I) (Instr. 4) Year) (Instr. 3 (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Code V Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 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 4(b)(v). Page 1 of 2 SEC 1475 (3-99)
FORM 4 (continued)
TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date 7. Title 8. Price 9. Number 10. Owner- 11. Nature of of sion or action action Derivative Exer- and of of ship Indirect Deri- Exercise Date Code Securities cisable Amount Deri- Deri- Form Beneficial vative Price of (Instr. Acquired (A) and Expi- of vative vative of Deri- Ownership Secu- Deri- (Month/ 8) or Disposed ration Under- Secu- Secu- vative (Instr. 4) rity vative Day/ of (D) Date lying rity rities Security: (Instr. Security Year) (Instr. 3, (Month/ Securi- (Instr. Benefi- Direct 3) 4, and 5) Day/ ties 5) cially (D) or Year) (Instr. Owned Indirect 3 and 4) at End (I) of (Instr. Month 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Code V (A) (D) Date Expir- Title Amount Exerci- ation or sable Date Number of Shares - ------------------------------------------------------------------------------------------------------------------------------------ 8.75% $21.875 Common 211,071 184,687 I(2)(3) (3) Convertible Stock Preferred Stock, Series 1996-A "Pre- ferred Stock" - ------------------------------------------------------------------------------------------------------------------------------------ Director $30.375 4/27/99 J(4) 2,500 (4) 2/10/00 Common (4) 7,500 D(2)(4) (4) Stock Option Stock (right to purchase) - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: See Attachment A. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. and 15 U.S.C. 78ff(a). By: /S/ Gregory J. Hartman January 10, 2000 -------------------------------------- --------------------------- Gregory J. Hartman Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless form displays a currently valid OMB number. Page 2 of 2 SEC 1475 (3-99)
FORM 4 (CONTINUED) NAME AND ADDRESS OF REPORTING PERSON: Westbrook Real Estate Partners, L.L.C. 599 Lexington Avenue, Suite 3800 New York, New York 10022 STATEMENT FOR MONTH/YEAR: 1/2000 ISSUER NAME AND TICKER OR TRADING SYMBOL: Essex Property Trust, Inc. - ESS ATTACHMENT A - ------------ (1) The reporting person has resigned as director of the issuer, effective January 1, 2000. (2) Pursuant to Rule 13d-4 promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), the reporting person disclaims beneficial ownership of all the securities reported on this statement. (3) Westbrook Real Estate Fund I, L.P. ("WREF I") and Westbrook Real Estate Co-Investment Partnership I, L.P. ("WRECIP I") are the direct owners of the Preferred Stock reported on this statement. Pursuant to Rule 13d-3 promulgated under the Act, (a) as the sole general partner of WREF I and WRECIP I, Westbrook Real Estate Partners Management I, L.L.C. ("WREM I") may be deemed to own beneficially the Preferred Stock owned by WREF I and WRECIP I, (b) as the sole managing member of WREM I, Westbrook Real Estate Partners, L.L.C. ("WREP") may be deemed to own beneficially the Preferred Stock owned by WREF I and WRECIP I, and (c) as a managing member of WREP, the reporting person may be deemed to own beneficially the Preferred Stock owned by WREF I and WRECIP I. (4) On April 27, 1999 the issuer granted options to the reporting person, as director of the issuer, covering 2,500 shares of Common Stock. Such options vest annually in equal thirds, commencing on the first anniversary of the issue date, but they expire 30 days after the holder ceases to be a director of the issuer. The reporting person has assigned all beneficial interest in options granted to him, as director of the issuer, to WREF I and WRECIP I, pursuant to an agreement among the reporting person, WREF I, WRECIP I and certain affiliated persons. Page 3 of 3 SEC 1475(3-99) -----END PRIVACY-ENHANCED MESSAGE-----