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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 | ||||||||
Class A common stock, $0.01 par value per share | (3) | 03/09/2015 | J | 625,788 | (3) | (3) | Common Stock | 625,788 | (3) | 4,956,662 | D (2) | ||||
Class A common stock, $0.01 par value per share | (1) | 03/09/2015 | C | 4,956,662 | (1) | (1) | Common Stock | 4,956,662 | (1) | 0 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OPTrust N.A Holding Trust 130 KING STREET W., SUITE 700 P.O. BOX 197 TORONTO, A6 M5X 1A6 |
X | |||
OpTrust Infrastructure N.A. Inc. 130 KING STREET W., SUITE 700 P.O. BOX 197 TORONTO, A6 M5X 1A6 |
X | |||
OPSEU Pension Plan Trust Fund 130 KING STREET W., SUITE 700 P.O. BOX 197 TORONTO, A6 M5X 1A6 |
X |
/s/ Gregory S. Imhoff as Attorney-In-Fact for Equity Financial Trust Company, as trustee of OpTrust N.A. Holdings Trust | 03/11/2015 | |
**Signature of Reporting Person | Date | |
/s/ Gregory S. Imhoff as Attorney-In-Fact for OPTrust Infrastructure N.A. Inc | 03/09/2015 | |
**Signature of Reporting Person | Date | |
/s/ Gregory S. Imhoff as Attorney-In-Fact for OPSEU Pension Plan Trust Fund | 03/09/2015 | |
**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) | Pursuant to the amended and restated charter of InfraREIT, Inc., 4,956,662 shares of Class A common stock of InfraREIT, Inc. ("Class A Common Stock") held by the reporting persons automatically converted on a one-for-one basis to shares of common stock of InfraREIT, Inc. |
(2) | This Form 4 is filed jointly by OpTrust N.A. Holdings Trust and the reporting persons named below. OPTrust Infrastructure N.A. Inc., a wholly owned subsidiary of OPSEU Pension Plan Trust Fund, is the beneficiary of OpTrust N.A. Holdings Trust and has investment control over the reported shares. |
(3) | Pursuant to the amended and restated charter of InfraREIT, Inc., 625,788 shares of Class A Common Stock held by the reporting persons were cancelled for no consideration. |