0001645873-21-000240.txt : 20211210
0001645873-21-000240.hdr.sgml : 20211210
20211210195622
ACCESSION NUMBER: 0001645873-21-000240
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211207
FILED AS OF DATE: 20211210
DATE AS OF CHANGE: 20211210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HANAUER JOE F
CENTRAL INDEX KEY: 0000904277
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-209928
FILM NUMBER: 211486670
MAIL ADDRESS:
STREET 1: 361 FOREST AVE
CITY: LAGUNA BEACH
STATE: CA
ZIP: 92651
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FT 5969
CENTRAL INDEX KEY: 0001654873
IRS NUMBER: 000000000
BUSINESS ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630 765 8000
MAIL ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
4
1
wf-form4_163918416946527.xml
FORM 4
X0306
4
2021-12-07
1
0001654873
FT 5969
MDVA
0000904277
HANAUER JOE F
120 NEWPORT CENTER DR
NEWPORT BEACH
CA
92660
0
0
0
1
Exit Form 4 (see note 3)
COMMON STOCK, CLASS C
6087.0618
D
Class M OP Units
0.0
Class M OP Units
7461.0
12435
D
Pursuant to the provisions contained in the third amended and restated limited partnership agreement of Modiv OperatingPartnership, LP, a holder of Class M OP Units that have been outstanding for at least one year may be converted into shares of the issuer's Class C common stock, subject to a reduced conversion ratio if converted prior to December 31, 2023. The Class MOP Units that are held until December 31, 2023 are convertible at an initial conversion ratio of 1.66667 which may increase if certain performance milestones are achieved.
There is no expiration date in connection with the Class M OP Units.
3. Resigned from the Company's board of directors on December 7, 2021 and no longer required to file Form 4 or Form 5.
Joe F. Hanauer
2021-12-10