FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EQUITY RESIDENTIAL [ EQR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Shares of Beneficial Interest | 221,849.196(1) | D | |||||||||||||
Common Shares of Beneficial Interest | 6,946(2) | I | Children | ||||||||||||
Common Shares of Beneficial Interest | 402,754(3) | I | SERP Account | ||||||||||||
Common Shares of Beneficial Interest | 25,015(4) | I | Spector Family Dynasty Trust | ||||||||||||
Common Shares of Beneficial Interest | 12/08/2006 | G(5) | 7,500 | D | $52.6 | 108,569(6) | I | Spouse | |||||||
Common Shares of Beneficial Interest | 12/11/2006 | G(5) | 95 | D | $52.95 | 108,474(6) | I | Spouse | |||||||
Common Shares of Beneficial Interest | 12/20/2006 | G(5) | 60 | D | $50.89 | 108,414(6) | I | Spouse | |||||||
Common Shares of Beneficial Interest | 12/22/2006 | G(5) | 65 | D | $49.78 | 108,349(6) | I | Spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Non-Qualified Stock Option (right to buy) | $23.55 | 02/07/2004 | 02/07/2013 | Common Shares of Beneficial Interest | 51,316 | 51,316(7) | D | |||||||
Non-Qualified Stock Option (right to buy) | $25.844 | 01/18/2002 | 01/18/2011 | Common Shares of Beneficial Interest | 54,742 | 54,742(8) | D | |||||||
Non-Qualified Stock Option (right to buy) | $27.2 | 01/16/2003 | 01/16/2012 | Common Shares of Beneficial Interest | 165,444 | 165,444(9) | D | |||||||
Non-Qualified Stock Option (right to buy) | $27.6 | 07/11/2002 | 07/11/2011 | Common Shares of Beneficial Interest | 200,000 | 200,000(10) | D | |||||||
Non-Qualified Stock Option (right to buy) | $29.25 | 01/27/2004 | 01/27/2014 | Common Shares of Beneficial Interest | 203,906 | 203,906(11) | D | |||||||
Non-Qualified Stock Option (right to buy) | $31.76 | 02/03/2005 | 02/03/2015 | Common Shares of Beneficial Interest | 188,447 | 188,447(12) | D | |||||||
Non-Qualified Stock Option (right to buy) | $42.8 | 02/03/2007 | 02/03/2017 | Common Shares of Beneficial Interest | 117,896 | 117,896(13) | D |
Explanation of Responses: |
1. Shares reported on this line are owned directly or are subject to vesting. |
2. Shares reported on this line are beneficially owned by Mr. Spector as custodian for his minor children. Mr. Spector disclaims beneficial ownership of said shares. |
3. Shares reported herein are owned by the AST Trust Company, as Trustee of the Equity Residential Supplemental Retirement Plan for the benefit of the reporting person and were acquired through Equity Residential's Employee Share Purchase Plan. |
4. Shares reported on this line are held in the Spector Family Dynasty Trust (the "SFDT"). Mr. Spector is the sole trustee of the SFDT and as such, may be demed the beneficial owner of the shares reported herein. |
5. The share transaction reported on this line was a bona fide gift to a charitable organization. |
6. Shares reported on this line are beneficially owned by Mr. Spector's spouse. Mr. Spector disclaims beneficial ownership of said shares. |
7. Share options reported on this line are currently exercisable. |
8. 103,161 share options reported on this line are currently exercisable; and 51,581 share options will become exercisable on January 18, 2004. |
9. 55,148 share options reported herein are currently exercisable; 55,148 share options will become exercisable on January 16, 2004; 55,148 share options will become exercisable on January 16, 2005. |
10. One-third of the share options reported on this line are exercisable; one-third will become exercisable on July 11, 2003; and one-third will become exercisable on July 11, 2004. |
11. Share options reported on this line will become exercisable in three equal installments on January 27, 2005; January 27, 2006 and January 27, 2007. |
12. The share option grant reported on this line is held in the Spector Family Dynasty Trust (the "SFDT"). Mr. Spector is the sole trustee of the SFDT and as such, may be deemed the beneficial owner of the shares reported herein. Share options reported on this line are exercisable in three equal installments on February 3, 2006; February 3, 2007 and February 3, 2008. |
13. Share options reported on this line become exercisable in three equal installments on February 3, 2007, February 3, 2008 and February 3, 2009. |
By: Barbara Shuman, Attorney-in-fact | 02/08/2007 | |
** Signature of Reporting Person | Date | |
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). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |