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Director's Dealing • Dec 31, 2023
7099_rns_2023-12-31_f1958e9c-97b0-4a4f-b440-7d98e2fb4526.pdf
Director's Dealing
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FORM 4
☐ Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| HIRSCH MATTHEW I | X Director _____ 10% Owner |
|||||||||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | _ Officer (give title below) ___ Other (specify below) | ||||||||||
| 3499 ROUTE 9 NORTH, STE 3C | ||||||||||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||||||||
| FREEDHOLD, NJ 07728 (City) (State) (Zip) |
_X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
|||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||
| 1.Title of Security (Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. 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) |
7. Nature of Indirect Beneficial Ownership |
|||||
| Code | V | Amount | (A) or (D) | Price | or Indirect (I) (Instr. 4) |
(Instr. 4) | ||||||
| UMH Properties, Inc. | 45,663.37 (1) | D | ||||||||||
| UMH Properties, Inc. | 5,076.09 (2) | I | Held by Spouse | |||||||||
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||
| 1. Title of Derivate Security 2. Conversion or Exercise 3. Trans. Date 3A. Deemed Execution (Instr. 3) Price of Derivative Date, if any Security |
4. Trans. Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
Date | 6. Date Exercisable and Expiration | (Instr. 3 and 4) | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||
| Code V |
(A) | (D) | Date Exercisable Expiration Date Title | Amount or Number of Shares | Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||
| UMH Properties, Inc. \$14.36 |
3/21/2024 | 3/21/2033 | UMH Properties, Inc. | 10,000 | 10,000 D |
Explanation of Responses:
(1) Includes 643.63 shares acquired through dividend reinvestment on 12/15/2023.
(2) Includes 59.89 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||||
| HIRSCH MATTHEW I 3499 ROUTE 9 NORTH STE 3C FREEDHOLD, NJ 07728 |
X |
| Signatures | ||
|---|---|---|
Nelli Madden 12/29/2023 **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | |||||
|---|---|---|---|---|---|---|---|
| (Check all applicable) | |||||||
| Carus Jeffrey A | UMH PROPERTIES, INC. [ UMH ] | ||||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _____ 10% Owner |
|||||
| _ Officer (give title below) ___ Other (specify below) |
|||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | 12/15/2023 | ||||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person | ||||||
| (City) (State) (Zip) |
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security (Instr. 3) |
2. Trans. Date 2A. Deemed | Execution Date, if any |
3. Trans. 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) |
7. Nature of Indirect Beneficial Ownership |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | or Indirect (I) (Instr. 4) |
(Instr. 4) | ||||
| UMH Properties, Inc. | 19,708.38 (1) | D | ||||||||
| UMH Properties, Inc. | 376.39 (2) | I | Custodial account for Son, Daniel |
|||||||
| UMH Properties, Inc. | 375.72 (3) | I | Custodial account for Son, Ethan |
|||||||
| UMH Properties, Inc. (Preferred D) | 500 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code (Instr. 8) |
5. Number of Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
Derivative Securities | 6. Date Exercisable and Expiration Date |
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 |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Security | Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
|||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 274.75 shares acquired through dividend reinvestment on 12/15/2023.
(2) Includes 41.92 shares acquired through dividend reinvestment on 12/15/2023.
(3) Includes 5.22 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Carus Jeffrey A 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
| **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
||||
|---|---|---|---|---|---|---|
| Levy Stuart | UMH PROPERTIES, INC. [ UMH ] | |||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
||||
| 3499 ROUTE 9 NORTH, SUITE 3C |
12/15/2023 | |||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person | |||||
| (City) (State) (Zip) |
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 15,244.6 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed 4. Trans. Execution Code Date, if any (Instr. 8) |
(D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
9. Number of derivative Securities Beneficially Owned Following |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||
| UMH Properties,Inc. | \$14.36 | 3/21/2024 3/21/2023 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 212.52 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Levy Stuart 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
**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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
|||
|---|---|---|---|---|---|
| Mitchell William Edward | UMH PROPERTIES, INC. [ UMH ] | ||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
|||
| 3499 ROUTE 9 NORTH, SUITE 3C | 12/15/2023 | ||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person | ||||
| (City) (State) (Zip) |
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 16,678.19 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Security | Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Following Direct (D) Reported or Indirect Transaction(s) (I) (Instr. (Instr. 4) 4) |
||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 232.51 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Mitchell William Edward 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
Nelli Madden 12/29/2023 **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
|||
|---|---|---|---|---|---|
| BUTEWICZ AMY LYNN | UMH PROPERTIES, INC. [ UMH ] | ||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
|||
| 3499 ROUTE 9 NORTH, SUITE 3C | 12/15/2023 | ||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person | ||||
| (City) (State) (Zip) |
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 8,446.24 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Following Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 128.9 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||||
| BUTEWICZ AMY LYNN 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
Nelli Madden 12/29/2023
**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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
|||||
|---|---|---|---|---|---|---|---|
| PRUITT ANGELA D. |
UMH PROPERTIES, INC. [ UMH ] | ||||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
|||||
| 3499 ROUTE 9 NORTH, SUITE 3C |
12/15/2023 | ||||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
||||||
| (City) (State) (Zip) |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 6,774.38 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Following Reported Transaction(s) (Instr. 4) |
Direct (D) or Indirect (I) (Instr. 4) |
||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 94.44 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| PRUITT ANGELA D. 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
| **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
||||
|---|---|---|---|---|---|---|
| Conway Kiernan | UMH PROPERTIES, INC. [ UMH ] | |||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
||||
| 3499 RT. 9 NORTH, SUITE 3C |
12/15/2023 | |||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||
| FREEHOLD, NJ 07728 (City) (State) (Zip) |
_X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 160.44 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Following Reported Transaction(s) (Instr. 4) |
Direct (D) or Indirect (I) (Instr. 4) |
||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 18.97 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Conway Kiernan 3499 RT. 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
| **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
|---|---|---|
| (Check all applicable) | ||
| CHEW ANNA T |
UMH PROPERTIES, INC. [ UMH ] | |
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _____ 10% Owner |
| X Officer (give title below) _____ Other (specify below) |
||
| EVP and CFO | ||
| 3499 ROUTE 9 N STE 3-C | 12/15/2023 | |
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 862,976.91 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Security | Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Following Reported Transaction(s) (Instr. 4) 4) |
Direct (D) or Indirect (I) (Instr. |
|||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
75,000 | 75,000 | D | |||||||||
| UMH Properties, Inc. |
\$23.81 | 3/28/2023 3/28/2032 | UMH Properties, Inc. |
39,000 | 39,000 | D | |||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 7/14/2031 | UMH Properties, Inc. |
50,000 | 50,000 | D | |||||||||
| UMH Properties, Inc. |
\$9.7 | 3/25/2021 3/25/2030 | UMH Properties, Inc. |
30,000 | 20,000 | D | |||||||||
| UMH Properties, Inc. |
\$13.9 | 4/2/2020 | 4/2/2029 | UMH Properties, Inc. |
50,000 | 50,000 | D | ||||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
50,000 | 50,000 | D | ||||||||
| UMH Properties, Inc. |
\$14.25 | 1/19/2018 1/19/2027 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 1,717.66 shares acquired through dividend reinvestment on 12/15/2023, and 48,560 shares held in 401(k) as of 12/15/2023.
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | ||||||
| CHEW ANNA T 3499 ROUTE 9 N STE 3-C |
X | EVP and CFO | |||||
| FREEHOLD, NJ 07728 |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
| **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | |||
|---|---|---|---|---|---|
| (Check all applicable) | |||||
| Taft Brett | UMH PROPERTIES, INC. [ UMH ] | ||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | _ Director ___ 10% Owner |
|||
| X Officer (give title below) _____ Other (specify below) |
|||||
| 3499 ROUTE 9 , SUITE 3C | 12/15/2023 | EVP and COO | |||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||
| FREEHOLD, NJ 07728 (City) (State) (Zip) |
_X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 76,137.95 (1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
75,000 | 75,000 | D | |||||||||
| UMH Properties, Inc. |
\$23.81 | 3/28/2023 3/28/2032 | UMH Properties, Inc. |
39,000 | 39,000 | D | |||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 7/14/2031 | UMH Properties, Inc. |
50,000 | 50,000 | D | |||||||||
| UMH Properties, Inc. |
\$9.7 | 3/25/2021 3/25/2030 | UMH Properties, Inc. |
50,000 | 50,000 | D | |||||||||
| UMH Properties, Inc. |
\$11.42 | 1/2/2020 | 1/2/2029 | UMH Properties, Inc. |
40,000 | 40,000 | D | ||||||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
20,000 | 20,000 | D | ||||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
20,000 | 20,000 | D | ||||||||
| UMH Properties, Inc. |
\$9.77 | 4/5/2017 | 4/5/2024 | UMH Properties, Inc. |
20,000 | 20,000 | D |
Explanation of Responses:
(1) Includes 282.22 shares acquired through dividend reinvestment on 12/15/2023, and 6,835 shares held in 401(k) as of 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | |||||||
| Taft Brett | ||||||||
| 3499 ROUTE 9 , SUITE 3C | EVP and COO | |||||||
| FREEHOLD, NJ 07728 |
Signatures
Nelli Madden 12/29/2023
**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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | |||
|---|---|---|---|---|---|
| (Check all applicable) | |||||
| Koster Craig | UMH PROPERTIES, INC. [ UMH ] | ||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | _ Director ___ 10% Owner |
|||
| X Officer (give title below) _____ Other (specify below) |
|||||
| 3499 ROUTE 9 NORTH, SUITE 3C |
12/15/2023 | EVP and General Counsel | |||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person | ||||
| (City) (State) (Zip) |
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security | 2. Trans. Date 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||
| Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||
| Direct (D) | Ownership | |||||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) (Instr. | |||||||||
| Code | V | Amount | (D) | Price | 4) | |||||
| UMH Properties, Inc. | 72,089.59 (1) | D | ||||||||
| UMH Properties, Inc. (Preferred D) | 337.002 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 |
10. Ownership Form of Derivative Security: |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Security | Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Following Reported Transaction(s) (Instr. 4) |
Direct (D) or Indirect (I) (Instr. 4) |
|||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
75,000 | 75,000 | D | |||||||||
| UMH Properties, Inc. |
\$23.81 | 3/28/2023 3/28/2032 | UMH Properties, Inc. |
39,000 | 39,000 | D | |||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 7/14/2031 | UMH Properties, Inc. |
50,000 | 50,000 | D | |||||||||
| UMH Properties, Inc. |
\$9.7 | 3/25/2021 3/25/2030 | UMH Properties, Inc. |
30,000 | 30,000 | D | |||||||||
| UMH Properties, Inc. |
\$11.42 | 1/2/2020 | 1/2/2029 | UMH Properties, Inc. |
20,000 | 20,000 | D | ||||||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
20,000 | 20,000 | D | ||||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
20,000 | 20,000 | D | ||||||||
| UMH Properties, Inc. |
\$9.77 | 4/5/2017 | 4/5/2024 | UMH Properties, Inc. |
4,500 | 4,500 | D |
(1) Includes 883.3 shares acquired through dividend reinvestment on 12/15/2023, and 7,902 shares held in 401(k) as of 12/15/2023.
| Reporting Owners | |
|---|---|
| ------------------ | -- |
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | |||||||
| Koster Craig 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
EVP and General Counsel |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
**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.
FORM 4
☐ Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
| ☐ Check this box to indicate that a transaction was made |
|---|
| pursuant to a contract, instruction or written plan that is |
| intended to satisfy the affirmative defense conditions of |
| Rule 10b5-1(c). See Instruction 10. |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| LANDY DANIEL O. | UMH PROPERTIES, INC. [ UMH ] | _ Director ___ 10% Owner |
|||||||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | _ Officer (give title below) ___ Other (specify below) EVP and President of OZ Fund |
|||||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | 12/15/2023 | ||||||||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||
| FREEHOLD, NJ 07728 | _X _ Form filed by One Reporting Person | ||||||||||
| (City) (State) (Zip) |
___ Form filed by More than One Reporting Person | ||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||
| 1.Title of Security (Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code 4. Securities Acquired (A) or Disposed of (D) (Instr. 8) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
7. Nature of Ownership Indirect Beneficial Direct (D) Ownership |
||||||
| Code | V | Amount | (A) or (D) | Price | or Indirect (I) (Instr. 4) |
(Instr. 4) | |||||
| UMH Properties, Inc. | 70,742.18 (1) | D | |||||||||
| UMH Properties, Inc. | 45,660.56 (2) | I | The Landy 2022 Family Trust |
||||||||
| UMH Properties, Inc. | 37,903 | I | Juniper Plaza Associates, LTD. |
||||||||
| UMH Properties, Inc. | 16,220 | I | Samuel Landy Family LTD Partnership |
||||||||
| UMH Properties, Inc. | 24,670 | I | Windsor Industrial Park Associates, LTD. |
||||||||
| UMH Properties, Inc. (Preferred D) | 900 | I | Windsor Industrial Park Associates, LTD. |
||||||||
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code (Instr. 8) |
or Disposed of (D) (Instr. 3, 4 and 5) |
5. Number of Derivative Securities Acquired (A) Date |
6. Date Exercisable and Expiration | (Instr. 3 and 4) | 7. Title and Amount of Securities Underlying Derivative Security 8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable Expiration Date Title | Amount or Number of Shares | Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||||
| UMH Properties, Inc. | \$14.36 | 3/21/2024 | 3/21/2033 | UMH Properties, Inc. | 75,000 | 75,000 D | |||||||||
| UMH Properties, Inc. | \$23.81 | 2/8/2023 | 3/28/2032 | UMH Properties, Inc. | 78,100 | 78,100 D | |||||||||
| UMH Properties, Inc. | \$22.57 | 7/14/2022 | 7/14/2031 | UMH Properties, Inc. | 100,000 | 100,000 D | |||||||||
| UMH Properties, Inc. | \$9.7 | 3/25/2021 | 3/25/2030 | UMH Properties, Inc. | 80,000 | 80,000 D | |||||||||
| UMH Properties, Inc. | \$13.9 | 4/2/2020 | 4/2/2029 | UMH Properties, Inc. | 100,000 | 100,000 D | |||||||||
| UMH Properties, Inc. | \$12.94 | 12/10/2019 | 12/10/2028 | UMH Properties, Inc. | 25,000 | 25,000 D | |||||||||
| UMH Properties, Inc. | \$15.75 | 7/9/2019 | 7/9/2028 | UMH Properties, Inc. | 10,000 | 10,000 D | |||||||||
| UMH Properties, Inc. | \$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. | 1,000 | 1,000 D |
Explanation of Responses:
(1) Includes 217 shares acquired through dividend reinvestment on 12/15/2023, and 5,189 shares held in 401(k) as of 12/15/2023.
(2) Includes 636.55 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||||
| LANDY DANIEL O. | |||||||||
| 3499 ROUTE 9 NORTH | EVP and President of OZ Fund | ||||||||
| SUITE 3C | |||||||||
| FREEHOLD, NJ 07728 | |||||||||
Signatures
Nelli Madden 12/29/2023
**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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
|||||
|---|---|---|---|---|---|---|---|
| LANDY MICHAEL P | UMH PROPERTIES, INC. [ UMH ] | ||||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
|||||
| 3499 ROUTE 9 N STE 3-C | 12/15/2023 | ||||||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||
| FREEHOLD, NJ 07728 (City) (State) (Zip) |
_X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security (Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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) |
7. Nature of Indirect Beneficial Ownership |
||
|---|---|---|---|---|---|---|---|---|---|
| Code | V Amount | (A) or (D) |
Price | or Indirect (I) (Instr. 4) |
(Instr. 4) | ||||
| UMH Properties, Inc. | 292,873.59 (1) | D | |||||||
| UMH Properties, Inc. | 20,920.33 (2) | I | Held by Spouse |
||||||
| UMH Properties, Inc. | 59,810.54 (3) | I | Account is C/F Daughter Monica |
||||||
| UMH Properties, Inc. | 17,409.3 (4) | I | Account is C/F Son Aaron |
||||||
| UMH Properties, Inc. | 48,000 | I | Co-Manager of EWL Grandchildren Fund LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of 8. Price of Securities Underlying Derivative Derivative Security Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10,000 | 10,000 | D |
Explanation of Responses:
(1) Includes 1,517.88 shares acquired through dividend reinvestment on 12/15/2023. In addition, total share ownership reflects a pro rata distribution in October 2023 of 14,240 shares by Landy Investments Ltd.
(2) Includes 277.71 shares acquired through dividend reinvestment on 12/15/2023.
(3) Includes 778.05 shares acquired through dividend reinvestment on 12/15/2023.
(4) Includes 242.7 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||||
| LANDY MICHAEL P | ||||||||
| 3499 ROUTE 9 N STE 3-C | X | |||||||
| FREEHOLD, NJ 07728 |
Signatures
| Nelli Madden | 12/29/2023 |
|---|---|
| **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.
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN 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
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | |||
|---|---|---|---|---|---|
| (Check all applicable) | |||||
| LANDY SAMUELA | UMH PROPERTIES, INC. [ UMH ] | ||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Director _____ 10% Owner |
|||
| X Officer (give title below) _____ Other (specify below) |
|||||
| 3499 ROUTE 9 NORTH, STE 3C |
12/15/2023 | President and CEO | |||
| (Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||
| FREEHOLD, NJ 07728 |
_X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security (Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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) |
7. Nature of Indirect Beneficial Ownership |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V Amount | (A) or (D) |
Price | or Indirect (I) (Instr. 4) |
(Instr. 4) | |||||
| UMH Properties, Inc. | 924,693.81 (1) | D | ||||||||
| UMH Properties, Inc. | 10,977.21 (2) | I | Held by Spouse |
|||||||
| UMH Properties, Inc. | 44,149.69 (3) | I | Held with Spouse |
|||||||
| UMH Properties, Inc. | 45,660.56 (4) | I | The Landy 2022 Family Trust |
|||||||
| UMH Properties, Inc. | 48,000 | I | Co-Manager of EWL Grandchildren Fund LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code (Instr. 8) |
5. Number of Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
Derivative Securities | 6. Date Exercisable and Expiration Date |
(Instr. 3 and 4) | 7. Title and Amount of Securities Underlying Derivative Security |
9. Number of derivative Securities Beneficially Owned Following |
10. Ownership Form of Derivative Security: Direct (D) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Reported Transaction(s) (Instr. 4) |
or Indirect (I) (Instr. 4) |
||||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
29,500 | 29,500 | D | |||||||||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
50,000 | 50,000 | D | ||||||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
50,000 | 50,000 | D | ||||||||||
| UMH Properties, Inc. |
\$14.25 | 1/19/2018 1/19/2027 | UMH Properties, Inc. |
50,000 | 50,000 | D |
Explanation of Responses:
(1) Includes 2,147.14 shares acquired through dividend reinvestment on 12/15/2023, and 89,209 shares held in 401(k) as of 12/15/2023.
(2) Includes 11.43 shares acquired through dividend reinvestment on 12/15/2023.
- (3) Includes 17.77 shares acquired through dividend reinvestment on 12/15/2023.
- (4) Includes 636.55 shares acquired through dividend reinvestment on 12/15/2023.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | |||||||
| LANDY SAMUELA 3499 ROUTE 9 NORTH STE 3C FREEHOLD, NJ 07728 |
X | President and CEO |
Signatures
Nelli Madden 12/29/2023
**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.