SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/11/2016 | 3. Issuer Name and Ticker or Trading Symbol HCP, INC. [ HCP ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 20,412.7(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option | (2) | 01/30/2019 | Common Stock | 4,520 | 23.34 | D | |
Employee Stock Option | (3) | 01/29/2020 | Common Stock | 2,472 | 28.35 | D | |
Employee Stock Option | (4) | 01/27/2021 | Common Stock | 2,496 | 36.96 | D | |
Employee Stock Option | (5) | 01/30/2022 | Common Stock | 4,437 | 41.64 | D | |
Employee Stock Option | (6) | 01/28/2023 | Common Stock | 7,320 | 46.92 | D | |
Employee Stock Option | (7) | 02/03/2024 | Common Stock | 13,104 | 38.83 | D |
Explanation of Responses: |
1. Includes 16,674 restricted stock unit awards that remain subject to vesting based on continued service pursuant to the applicable award agreements. |
2. Stock options vested one-fifth (1/5) annually commencing on the first anniversary of the January 30, 2009 grant date. |
3. Stock options vested one-fifth (1/5) annually commencing on the first anniversary of the January 29, 2010 grant date. |
4. Stock options vested one-fourth (1/4) annually commencing on the first anniversary of the January 27, 2011 grant date. |
5. Stock options vest one-fourth (1/4) annually commencing on the first anniversary of the January 30, 2012 grant date. |
6. Stock options vest one-fourth (1/4) annually commencing on the first anniversary of the January 28, 2013 grant date. |
7. Stock options vest one-third (1/3) annually commencing on the first anniversary of the February 3, 2014 grant date. |
Scott A. Graziano, VP, Legal (Attorney-In-Fact) | 01/21/2016 | |
** 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 5 (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. |