SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol BRT Apartments Corp. [ BRT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 01/13/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) 01/17/2022 | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 25,260 | I | By 130 Store Company(1) | |||||||
Common Stock | 10,012 | I | By spouse(2) | |||||||
Common Stock | 2,468 | I | As custodian(3) | |||||||
Common Stock | 01/13/2022 | A | 11,456 | A | $0 | 384,688(4)(5) | D | |||
Common Stock | 11,500(6) | I | By trust(6) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Reporting person is a partner in 130 Store Company, which owns these shares. |
2. Reporting person disclaims any beneficial interest in such shares. |
3. Reporting person is custodian of these shares for a minor. Reporting person disclaims any benefiical interest in these shares. |
4. These shares were issued as restricted stock effective January 13, 2022 under the issuer's 2020 Incentive Plan. Subject to the reporting person's continued relationship with the Company, the shares vest January 12, 2027. |
5. The reporting person ceased serving as a member of Georgetown Partners LLC (f/k/a Georgetown Partners, Inc.), the entity which manages Gould Investors L.P. This amendment is filed because, as a result of the cessation, the reporting person does not beneficially own 2,989,898 shares of the Issuer's common stock through Georgetown Partners LLC and Gould Investors L.P. Additionally, the reporting person is not a trustee of Gould Family Trust. Accordingly, the rows describing his indirect ownership of shares by Gould Investors L.P., Georgetown Partners LLC, and Gould Family Trust should have been eliminated from the reporting person's Form 4 filed January 17, 2022. |
6. Reporting person is the trustee of a trust of which the beneficiary is his spouse. |
Remarks: |
/s/ Fredric H. Gould by Isaac Kalish,his attorney in fact | 04/14/2022 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |