-----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, OuyXJzLPzW0DfjPAOASTnB/E+WZi/O53CUEbrMvYiy1SP8R6hggxGjh0i5RYZDkI Zi7/Ix+BIJOvqzdk2Yx+lg== 0001024193-04-000003.txt : 20040302 0001024193-04-000003.hdr.sgml : 20040302 20040302150805 ACCESSION NUMBER: 0001024193-04-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040227 FILED AS OF DATE: 20040302 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: 04642540 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 c0001024193d20040302f4f.xml PRIMARY DOCUMENT X0201 4 2004-02-27 0 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 459578 D Common Shares of Beneficial Interest 60000 I Zell Family Foundation Common Shares of Beneficial Interest 2004-02-27 4 A 0 4017 24.89 A 187390 I SERP Account Common Shares of Beneficial Interest 22056 I Samuel Zell Revocable Trust Common Shares of Beneficial Interest 1206968 I Samstock, L.L.C. Common Shares of Beneficial Interest 600 I By Spouse, Trustee for Helen Zell Revocable Trust Non-Qualified Stock Option (right to buy) 14.625 1997-05-10 2005-05-10 Common Shares of Beneficial Interest 10000 10000 D Non-Qualified Stock Option (right to buy) 15.1875 1999-02-26 2006-02-26 Common Shares of Beneficial Interest 200000 200000 D Non-Qualified Stock Option (right to buy) 16.375 1998-05-10 2006-05-10 Common Shares of Beneficial Interest 10000 10000 D Non-Qualified Stock Option (right to buy) 17.4375 1996-05-12 2004-05-12 Common Shares of Beneficial Interest 10000 10000 D 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) 20.75 2000-01-28 2007-01-28 Common Shares of Beneficial Interest 200000 200000 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) 24.625 2000-05-14 2008-05-14 Common Shares of Beneficial Interest 10000 10000 D Non-Qualified Stock Option (right to buy) 25.3438 2001-01-07 2008-01-07 Common Shares of Beneficial Interest 600000 600000 D Non-Qualified Stock Option (right to buy) 25.75 1999-08-04 2007-08-04 Common Shares of Beneficial Interest 10000 10000 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 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 2002-07-02 Common Shares of Beneficial Interest 222340 222340 I Samstock/ZGPI, 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 2020-01-10 Common Shares of Beneficial Interest 1375690 1375690 I Samstock, L.L.C. 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 2002-12-02 Common Shares of Beneficial Interest 62952 62952 I First Capital Financial, LLC Operating Partnership Units 0 2003-02-01 2013-02-01 Common Shares of Beneficial Interest 402 402 I Samstock/Alpha, LLC Shares reported herein are beneficially owned by the Zell Family Foundation, an Illinois not-for-profit corporation ("Foundation"). Mr. Zell is a director and sole member of the Foundation and may be deemed to be the beneficial owner of the shares reported herein. Mr. Zell disclaims beneficial ownership of the shares reported herein . Shares reported herein are owned by The Security Trust Company, as Trustee of the Equity Residential Properties Trust Supplemental Retirement Plan for the benefit of the Reporting Person and were acquired through Equity Residential Properties Trust's Employee Share Purchase Plan. Shares or OP Units reported herein are beneficially owned by First Capital Financial, LLC ("First Capital"). Mr. Zell is a managing member of First Capital and, as such, may be deemed to be the beneficial owner of the shares or OP Units reported herein. Shares or OP Units reported herein are beneficially owned by Samstock, L.L.C., a Delaware limited liability company ("Samstock"). The sole member of Samstock is SZ Investments, L.L.C., a Delaware limited liability company ("SZ"). The sole managing member of SZ is Zell General Partnership, Inc. ("Zell GP"). Mr. Zell is the sole director and trustee and beneficiary of the sole stockholder of Zell GP and, as such, may be deemed the beneficial owner of the shares or OP units reported herein. The Shares reported herein are beneficially owned by the Helen Zell Revocable Trust ("HZRT"). Samuel Zell's spouse, Helen Zell, is the trustee of the HZRT. Samuel Zell disclaims beneficial ownership of the shares reported as beneficially owned by him except to the extent of his pecuniary interest therein. Share options reported on this line are fully exercisable. 142,544 share options reported herein will become exercisable on August 7, 2003; 142,544 share options will become exercisable on February 7, 2004; and 142,544 share options will become exercisable on February 7, 2005. 154769 share options reported herein are currently exercisable; and 77,385 share options will become exercisable on January 18, 2004. 6,668 share options reported herein are currently exercisable; and 3,332 share options will become exercisable on May 15, 2003. 102,906 share options reported herein are exercisable; 101,238 share options will become exercisable on January 17, 2004; and 99,572 share options will become exercisable January 17, 2005. Share options reported on this line will become exercisable in three equal installments on January 27, 2005; January 27, 2006 and January 27, 2007. OP Units reported herein are beneficially owned by EGI Holdings, Inc.. Under a stockholder's agreement dated December 31, 1999 among certain Zell family trusts and certain Robert Lurie family trusts, the Zell trusts have the power to vote and dispose of the common shares and OP Units beneficially owned by EGI Holdings, Inc.. OP Units reported herein are beneficially owned by EGIL Investments, Inc.. Under a stockholder agreement dated December 31, 1999 among certain Zell family trusts and certain Robert Lurie family trusts, the Lurie family trusts have the power to vote and to dispose of the shares and OP Units beneficially owned by EGIL Investments, Inc.. OP Units reported herein are beneficially owned by Samstock/ZGPI, L.L.C., a Delaware limited liability company. The sole member of Samstock/ZGPI, L.L.C. is Zell General Partnership, Inc. The sole shareholder of Zell General Partnership, Inc. is the Samuel Zell Revocable Trust under trust agreement dated January 17, 1990. Mr. Zell is trustee and beneficiary of the Samuel Zell Revocable Trust and, as such, Mr. Zell may be deemed the beneficial owner of the OP Units reported herein. OP units reported herein are beneficially owned by Samstock/ZFT, L.L.C., a delaware limited liability company. The sole member of Samstock/ZFT, L.L.C. is the ZFT Partnership, an Illinois general partnership. The general partners of ZFT Partnership are trusts created for the benefit of Mr. Zell and his family and, as such, Mr, Zell may be deemed to be the beneficial owner of the OP units reported herein. OP Units reported herein are beneficially owned by Samstock/SZRT, L.L.C., a Delaware limited liability company. 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, and as such, he may be deemed the beneficial owner of the OP units reported herein. OP Units reported herein are beneficially owned by Samstock/Alpha, LLC, a Delaware limited liability company. The sole member of Samstock/Alpha, LLC is Alphabet Partners. The general partners of Alphabet Partners are trusts created for ther benefit of Mr. Zell and his family and, as such, Mr. Zell may be deemed to be the beneficial owner of the OP Units reported herein. Samuel Zell 2004-03-02 -----END PRIVACY-ENHANCED MESSAGE-----