-----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, BuwGjmBKI3jUgNXZXMAcEf9tmS2zMfh1cpHa9U2hVBnSAyAoK9R7LH4deg3PZXw5 Y272DVKx7LfztlMM1gSdoA== 0000914121-99-000132.txt : 19990217 0000914121-99-000132.hdr.sgml : 19990217 ACCESSION NUMBER: 0000914121-99-000132 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990216 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: 99540041 BUSINESS ADDRESS: STREET 1: 925 EAST MEADOW DR 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: KAPLAN JEFFREY M CENTRAL INDEX KEY: 0001058792 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 9729340100 5 1 FORM 5 FILING - --------------------------------------------------- FORM 5 X Check this box if no __ Form 3 Holdings longer subject to Reported Section 16. Form 4 or Form 5 obligations X 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 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 Rerporting Person* (Check all applicable) Essex Property Trust, Inc. -- ESS __ Director X 10% Owner(1) __ Officer (give title below) __ Other (specify below) Kaplan Jeffrey M. - ------------------------------------------------------------------------------------------------------------------------------------ (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) 12/1998 __ Form Filed by More than One Reporting Person 599 Lexington Avenue, Suite 3800 - ------------------------------------------- ------------------ (Street) 5. If Amendment, Date of Original (Month/Year) New York New York 10022 - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) Table I -- 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 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 1/5/99 C4 100,000 A $21.875 I(2) (1)(2) $0.0001 per share ("Common Stock") - ------------------------------------------------------------------------------------------------------------------------------------ 1/5/99 S4 7,800 D $30.3125 I(2) (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ 1/5/99 S4 21,100 D $30.25 I(2) (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ 1/6/99 S4 10,200 D $30.25 60,900 I(2) (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ 2/1/99 J(3) 60,900 D (3) 0 I(2) (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ * If the form is filed by more than one reporting person, See Instruction 4(b)(v).
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 and 4) 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 1/5/99 C4 87,500 Common 100,000 I (1)(2) Convertible Stock Preferred Stock, Series 1996-A ("Preferred Stock") - ----------------------------------------------------------------------------------------------------------------------------------- Preferred Stock 2/1/99 1,512,500 (3) 0 I (1)(3)(4) - ----------------------------------------------------------------------------------------------------------------------------------- Director Stock $10.125 10/11/98 L(4) 2,500 10/11/99 10/11/00 Common 2,500 I (1)(4) Option (right Stock to purchase) - ------------------------------------------------------------------------------------------------------------------------------------ Director Stock 7/97] J5(4) 2,500 Common 2,500 I (1)(4) Option (right Stock to purchase) - ------------------------------------------------------------------------------------------------------------------------------------ Director Stock 2/1/99 J(3) 2,500 0 I (1)(3)(4) Option (right to purchase) - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Pursuant to Rule 13d-4 promulgated under the Securities Exchange Act of 1934 (the "Act"), the reporting person disclaims beneficial ownership of all securities reported on this statement. (2) Owned of record by affiliates of Westbrook Real Estate Fund I, L.P. and Westbrook Real Estate Co-Investment Partnership I, L.P. (collectively, the "Westbrook Funds"). (3) The reporting person ceased being a managing principal of the managing member of the general partner of the Westbrook Funds on February 1, 1999 and is therefore no longer subject to Section 16 of the Act in respect of the securities of the issuer. (4) Prior to February 1, 1999, the reporting person may have been deemed to have a beneficial interest in options granted to Gregory J. Hartman ("Hartman"), as director of the issuer, pursuant to an agreement between Hartman and the Westbrook Funds. ** Intentional misstatements or omissions of /s/ Jeffrey M. Kaplan February 14, 1999 facts constitute Federal Criminal Violations -------------------------------------------- ------------------------------ See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Jeffrey M. Kaplan ** Signature of Reporting Person Date 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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