0001127602-17-004084.txt : 20170206 0001127602-17-004084.hdr.sgml : 20170206 20170206165003 ACCESSION NUMBER: 0001127602-17-004084 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170206 DATE AS OF CHANGE: 20170206 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12252 FILM NUMBER: 17576143 MAIL ADDRESS: STREET 1: C/O EQUITY RESIDENTIAL STREET 2: TWO NORTH RIVERSIDE PLAZA, SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60606 5 1 form5.xml PRIMARY DOCUMENT X0306 5 2016-12-31 0 0 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 2016-09-27 5 G 0 22205 0 A 105102 I Trust I Common Shares Of Beneficial Interest 2016-09-27 5 G 0 22205 0 D 0 I Grantor Trusts B Common Shares Of Beneficial Interest 2016-09-27 5 G 0 22205 0 D 0 I Grantor Trusts E Common Shares Of Beneficial Interest 2016-09-27 5 G 0 22205 0 A 105102 I Trust I Common Shares Of Beneficial Interest 2016-09-27 5 G 0 9943 0 A 0 I Trust II Common Shares Of Beneficial Interest 2016-09-27 5 G 0 9943 0 D 0 I Grantor Trusts B Common Shares Of Beneficial Interest 2016-09-27 5 G 0 9943 0 A 0 I Trust II Common Shares Of Beneficial Interest 2016-09-27 5 G 0 9943 0 D 0 I Grantor Trusts E Common Shares Of Beneficial Interest 3132 I 401(k) Plan Common Shares Of Beneficial Interest 2874 I Family Limited Partnership Common Shares Of Beneficial Interest 40000 I Trust III Operating Partnership Units 0 2016-04-15 5 G 0 100000 0 D Common Shares Of Beneficial Interest 100000 256199 D Operating Partnership Units 0 2016-04-15 5 G 0 100000 0 A Common Shares Of Beneficial Interest 100000 100000 I LLC Operating Partnership Units 0 2016-09-27 5 G 0 22205 0 D Common Shares Of Beneficial Interest 22205 256199 D Operating Partnership Units 0 2016-09-27 5 G 0 22205 0 A Common Shares Of Beneficial Interest 22205 32148 I Grantor Trusts B Operating Partnership Units 0 2016-09-27 5 G 0 22205 0 D Common Shares Of Beneficial Interest 22205 256199 D Operating Partnership Units 0 2016-09-27 5 G 0 22205 0 A Common Shares Of Beneficial Interest 22205 32148 I Grantor Trusts E Operating Partnership Units 0 2016-09-27 5 G 0 9943 0 A Common Shares Of Beneficial Interest 9943 32148 I Grantor Trusts B Operating Partnership Units 0 2016-09-27 5 G 0 9943 0 D Common Shares Of Beneficial Interest 9943 256199 D Operating Partnership Units 0 2016-09-27 5 G 0 9943 0 D Common Shares Of Beneficial Interest 9943 256199 D Operating Partnership Units 0 2016-09-27 5 G 0 9943 0 A Common Shares Of Beneficial Interest 9943 32148 I Grantor Trusts E In accordance with the substitution provisions thereunder, the reporting person, as Grantor, elected to substitute shares in grantor retained annuity trusts for the benefit of his son on a one-for-one basis for OP Units of equivalent value resulting in a reduction of shares held indirectly by such trusts and a corresponding increase in shares held indirectly by Trust I. See also footnote 11 to Table II of this report. Represents shares beneficially owned by Trust I, a trust for the benefit of the reporting person's wife. The reporting person is the sole trustee of Trust I, and, as such, may be deemed to be the beneficial owner of these shares. In accordance with the substitution provisions thereunder, the reporting person, as Grantor, elected to substitute shares in grantor retained annuity trusts for the benefit of his daughter on a one-for-one basis for OP Units of equivalent value resulting in a reduction of shares held indirectly by such trusts and a corresponding increase in shares held indirectly by Trust I. See also footnote 13 to Table II of this report. In accordance with the substitution provisions thereunder, the reporting person's wife, as Grantor, elected to substitute shares in grantor retained annuity trusts for the benefit of her son in on a one-for-one basis for OP Units of equivalent value resulting in a reduction of shares held indirectly by such trusts and a corresponding increase in shares held indirectly by Trust II. See also footnote 15 to Table II of this report. In accordance with the substitution provisions thereunder, the reporting person's wife, as Grantor, elected to substitute shares in grantor retained annuity trusts for the benefit of her daughter in on a one-for-one basis for OP Units of equivalent value resulting in a reduction of shares held indirectly by such trusts and a corresponding increase in shares held indirectly by Trust II. See also footnote 16 to Table II of this report. 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 October 15, 2016. Represents shares beneficially owned by a family limited partnership, of which the reporting person is the general partner. 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. The OP Units reflected in this report are previously reported Restricted Units which have automatically converted to OP Units per their terms. The OP Units do not expire and are fully vested, transferable and can be exchanged by the holder for common shares of Equity Residential (the "Company") on a one-for-one basis or, at the Company's option, for the cash value of such shares. Represents OP Units beneficially owned by a limited liability company of which the reporting person is the sole member. In accordance with the substitution provisions thereunder, the reporting person, as Grantor, elected to substitute OP Units on a one-for-one basis for shares of equivalent value in grantor retained annuity trusts for the benefit of his son resulting in an increase in OP Units held indirectly by such trusts and a corresponding decrease in OP Units held directly by the reporting person. See also footnote 1 to Table I of this report. Represents OP Units beneficially owned by grantor retained annuity trusts for the benefit of the reporting person's son. The inclusion of these OP Units 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. In accordance with the substitution provisions thereunder, the reporting person, as Grantor, elected to substitute OP Units on a one-for-one basis for shares of equivalent value in grantor retained annuity trusts for the benefit of his daughter resulting in an increase in OP Units held indirectly by such trusts and a corresponding decrease in OP Units held directly by the reporting person. See also footnote 3 to Table I of this report. Represents OP Units beneficially owned by grantor retained annuity trusts for the benefit of the reporting person's daughter. The inclusion of these OP Units 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. In accordance with the substitution provisions thereunder, the reporting person elected to substitute OP Units on a one-for-one basis for shares of equivalent value in grantor retained annuity trusts for the benefit of his son resulting in an increase in OP Units held indirectly by such trusts and a corresponding decrease in OP Units held directly by the reporting person. See also footnote 4 to Table I of this report. In accordance with the substitution provisions thereunder, the reporting person elected to substitute OP Units on a one-for-one basis for shares of equivalent value in grantor retained annuity trusts for the benefit of his daughter resulting in an increase in OP Units held indirectly by such trusts and a corresponding decrease in OP Units held directly by the reporting person. See also footnote 5 to Table I of this report. s/ By: Jane Matz, Attorney-in-fact 2017-02-06