Rady Ernest S's Form 4/A amendment
AmendedAmerican Assets Trust, Inc. (AAT) · filed Oct 4, 2022
- Accession no.
- 0001500217-22-000119
- Filed
- Oct 4, 2022
- Trade date
- Aug 29-30, 2022
- Filing delay
- 36 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 31, 2022
This filing lists 2 non-derivative transactions. Open-market purchases total $998.3K. It was filed 36 days after the trade.
This amendment replaces 0001500217-22-000103 (filed Aug 31, 2022).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rady Ernest SCIK 0001221359 | Director, Officer (Chairman & CEO), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 29, 2022 | Common Stock, par value $0.01 | PPurchaseAcquired | +20,000 | $28.66 | +$573,200 | 6,817,855 | Indirect | |
| Aug 30, 2022 | Common Stock, par value $0.01 | PPurchaseAcquired | +15,000 | $28.34 | +$425,100 | 6,832,855 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Represents shares held by Ernest Rady Trust U/D/T March 10, 1983 ("ERT"), for which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F2
This amendment to Form 4 is filed for the purpose of correcting a scrivener's error. The actual securities acquired by ERT on 8/30/22 was 15,000 shares, as opposed to the previously reported 10,000 shares.
- F3
Represents shares held by American Assets, Inc. ("AAI"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F4
Represents shares held by Insurance Company of the West ("ICW"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F5
Represents shares held by Rady Foundation ("RF"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F6
Represents shares held by Explorer Insurance Company ("EIC"), which is directly controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F7
Represents shares held by Evelyn Shirley Rady Trust U/D/T March 10, 1983 ("ESRT"), for which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F8
Amount includes (a) 66,680 shares held by Ernest Rady IRA and (b) 188,659 shares of restricted common stock issued pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. Amended and Restated 2011 Equity Incentive Award Plan.