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