Initial Statement of Beneficial Ownership (3)
February 02 2017 - 7:48AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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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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1. Name and Address of Reporting Person
*
Anthony Nicholas C.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/25/2017
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3. Issuer Name
and
Ticker or Trading Symbol
DUKE REALTY CORP [DRE]
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(Last)
(First)
(Middle)
600 E. 96TH ST., #100
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
EVP, Chief Investment Officer /
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(Street)
INDIANAPOLIS, IN 46240
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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18952
(1)
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D
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Common Stock
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445
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock Units
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(2)
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(2)
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Common Stock
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34768
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(2)
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D
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LTIP Units
(3)
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(4)
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(4)
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Common Stock
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7673
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(3)
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D
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LTIP Units
(3)
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(5)
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(5)
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Common Stock
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16992
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(3)
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D
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Units
(6)
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(6)
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(6)
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Common Stock
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3837
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(6)
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D
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Explanation of Responses:
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(
1)
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Includes 12,586 restricted stock units granted pursuant to Rule 16b-3 of Section 16b of the Securities Exchange Act of 1934.
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(
2)
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Represents phantom stock units acquired under the Executives' Deferred Compensation Plan of Duke Realty Services Limited Partnership. The units are valued on a one to one basis to the Company's common stock and are to be settled in cash and/or stock upon the Reporting Person's termination of employment.
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(
3)
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Represents units of limited partnership interest (LTIP Unit) in Duke Realty Limited Partnership (DRLP), of which the Issuer is the general partner, issued as long term incentive compensation pursuant to the Issuer's equity based incentive programs. When earned and vested, each LTIP Unit may be converted into a Common Unit of limited partnership interest in DRLP. Each Common Unit acquired upon the conversion of an LTIP Unit is redeemable by the holder for shares of common stock of the Issuer on a one-for-one basis. LTIP units are generally not convertible until two years from the date of the grant.
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(
4)
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LTIP Units vest in three equal installments beginning on February 10, 2016 and have no expiration date.
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(
5)
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LTIP Units vest in three equal installments beginning on February 10, 2017 and have no expiration date.
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(
6)
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Represents Common Units of DRLP. Each Common Unit is redeembable by the holder for shares of common stock of the Issuer on a one-for-one basis. Common Units have no expiration date.
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Remarks:
Remarks:
Exhibit List:
Exhibit 24 - Power of Attorney
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Anthony Nicholas C.
600 E. 96TH ST., #100
INDIANAPOLIS, IN 46240
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EVP, Chief Investment Officer
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Signatures
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Tracy D. Swearingen for Nicholas C. Anthony per POA attached.
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2/2/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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