-----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, BP0xSMxeYMxAGytSCpmP/vX49dGsakgEymipH2/P1tqEBhjp21NDioj8iyfV6Iwe 2EivFTjvHUl+bR0vKKc/WQ== 0000914121-98-000276.txt : 19980415 0000914121-98-000276.hdr.sgml : 19980415 ACCESSION NUMBER: 0000914121-98-000276 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961230 FILED AS OF DATE: 19980414 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESSEX PROPERTY TRUST INC CENTRAL INDEX KEY: 0000920522 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 770369576 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-13106 FILM NUMBER: 98593411 BUSINESS ADDRESS: STREET 1: 925 EAST MEADOW DRIVE CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 6504943700 MAIL ADDRESS: STREET 1: 925 EAST MEADOW DRIVE CITY: PALO ALTO STATE: CA ZIP: 94303 COMPANY DATA: COMPANY CONFORMED NAME: HARTMAN GREGORY J CENTRAL INDEX KEY: 0001059767 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 777 CALIFORNIA AVE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 4154387920 MAIL ADDRESS: STREET 1: 777 CALIFORNIA AVE CITY: PALO ALTO STATE: CA ZIP: 94304 5 1 FORM 5 - -------------------------------------------------------------------------------- Amended and Restated FORM 5 - -------------------------------------------------------------------------------- - --------------------------------------------------- FORM 5 __ Check this box if no __ Form 3 Holdings longer subject to Reported Section 16. Form 4 or Form 5 obligations __ Form 4 Transactions may continue. See Reported Instruction 1(b). - --------------------------------------------------- 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 (the "Act") of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940. - ------------------------------------- OMB Approval - ------------------------------------- OMB Number: 3235-0362 Expires: September 30, 1998 Estimated average burden hours per response....1.0 - -------------------------------------
- --------------------------------------------------- ------------------------------------------------------ ------------------------- 1. Name and Address of 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer Reporting Person* (Check all applicable) X Director __ 10% Owner Hartman Gregory J. Essex Property Trust, Inc. __ Officer (give title below) __ Other (specify below) - ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. IRS or Social 4. Statement for 7. Individual or Joint/Group Reporting Security Number of Month/Year (check applicable line) Reporting Person X Form Filed by One Reporting Person (Voluntary) December 1996 Form Filed by More than One Reporting Person 777 California Avenue - ------------------------------------------- ------------------ (Street) 5. If Amendment, Date of Original (Month/Year) Palo Alto, CA 94304 December 1996 - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) Table 1 -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------ ------------- ----------------- --------------------------------------------------------- 1. Title of Security 2. Trans- 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action Code (Instr. or Disposed of (D) Securities Form: Indirect Date 8) (Instr. 3, 4 and 5) Beneficially Direct (D) Beneficial (Month/ Owned at end or Indirect Ownership Day/ of Issuer's (I) (Instr. 4) Year) Fiscal Year (Instr. 4) (Instr. 3 and 4 - ------------------------------------------------------------------------------------------------------------------------------------ Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date 7. Title 8. Price 9. Number 10. Owner- 11. Nature of of sion or action action Derivative Exer- and of of ship Indirect Deri- Exercise Date Code Securities cisable Amount Deri- deri- Form Beneficial vative Price of (Instr. Acquired (A) and Expi- of vative vative of Deri- Ownership Secu- Deri- (Month/ 8) or Disposed ration Under- Secu- Secu- vative (Instr. 4) rity vative Day/ of (D) Date Lying rity rities Security (Instr. Security Year) (Instr. 3, (Month/ Securi- (Instr. Benefi- Direct 3) 4, and 5) Day/ ties 5) cially (D) or Year) (Instr. Owned Indirect 3 and4) at End (I) of (Instr. Year 4) (Instr. 4) ----------------------------------------- (A) (D) Date Expir- Title Amount Exerci- ation or sable Date Number of Shares ----------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ 8.75% $21.875 (1)(2) 3(1) 400,000 6/20/97 None Com- 410,087 $21.875 I(2) (2) Convertible per mon per Preferred share Stock, share Stock, Series par 1996A value $0.0001 per share - ------------------------------------------------------------------------------------------------------------------------------------ 8.75% $21.875 (1)(2) 3(1) 400,000 9/20/97 None Com- 410,087 $21.875 I(2) (2) Convertible per mon per Preferred share Stock, share Stock, Series par 1996A value $0.0001 per share - ------------------------------------------------------------------------------------------------------------------------------------ 8.75% $21.875 (1)(2) 3(1) 400,000 12/20/97 None Com- 410,087 $21.875 I(2) (2) Convertible per mon per Preferred share Stock, share Stock, Series par 1996A value $0.0001 per share - ------------------------------------------------------------------------------------------------------------------------------------ 8.75% $21.875 (1)(2) 3(1) 400,000 3/20/98 None Com- 410,087 $21.875 I(2) (2) Convertible per mon per Preferred share Stock, share Stock, Series par 1996A value $0.0001 per share - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) The reporting person became a director of Essex Property Trust, Inc. on July 1, 1996. (2) The 8.75% Convertible Preferred Stock, Series 1996A was acquired directly by Westbrook Real Estate Fund I, L.P. ("WREF I") and Westbrook Real Estate Co-Investment Partnership I, L.P. ("WRECIP I") on July 1, 1996. The sole general partner of each of WREF I and WRECIP I is Westbrook Real Estate Partners Management I, L.L.C. ("WREM"). The sole managing member of WREM is Westbrook Real Estate Partners, L.L.C. ("WREP"). The reporting person is a managing member of WREP. The reporting person states that this filing on Form 5 shall not be deemed an admission that he is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of the 8.75% Convertible Preferred Stock, Series 1996A. ** Intentional misstatements or omissions of /s/ Gregory J. Hartman april 13, 1998 facts constitute Federal Criminal -------------------------------------------- ------------------------------ Violations ** Signature of Reporting Person Date 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 provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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