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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harvey Joseph M COHEN & STEERS, INC. 280 PARK AVENUE NEW YORK, NY 10017 |
President |
Salvatore Rappa, Attorney-in-Fact for Joseph Harvey | 02/03/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes 4,199 restricted stock units (RSUs) mandatorily deferred by Cohen & Steers from Mr. Harvey's annual incentive performance bonus, plus 1,049 RSUs granted to Mr. Harvey as a company match on his mandatory bonus deferral. These RSUs generally vest ratably over four years. Also includes 6,999 RSUs voluntarily deferred by Mr. Harvey from his annual incentive performance bonus, plus 1,749 RSUs granted to Mr. Harvey as a company match on his voluntary bonus deferral. These RSUs will generally be delivered on the third anniversary of grant. Also includes 18,665 RSUs that generally vest ratably over five years. |
(2) | Represents the withholding by Cohen & Steers of a sufficient number of shares of common stock to satisfy Mr. Harvey's tax obligations upon the vesting of 21,823 previously reported RSUs. |