Major Shareholding Notification • Apr 9, 2023
Major Shareholding Notification
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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). |
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
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 |
3/15/2023 | 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 ___ Form filed by More than One Reporting Person |
||||||
| (City) (State) (Zip) |
Rule 10b5-1(c) Transaction Indication | ||||||
| ☐ 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. |
| 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. | 61198.34 (1) | D | ||||||||
| UMH Properties, Inc. (Preferred D) | 337.002 | D |
| 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. |
75000 | 75000 | D | |||||||||
| UMH Properties, Inc. |
\$23.81 | 3/28/2023 3/28/2032 | UMH Properties, Inc. |
39000 | 39000 | D | |||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 7/14/2031 | UMH Properties, Inc. |
50000 | 50000 | D | |||||||||
| UMH Properties, Inc. |
\$9.7 | 3/25/2021 3/25/2030 | UMH Properties, Inc. |
30000 | 30000 | D | |||||||||
| UMH Properties, Inc. |
\$11.42 | 1/2/2020 | 1/2/2029 | UMH Properties, Inc. |
20000 | 20000 | D | ||||||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
20000 | 20000 | D | ||||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
20000 | 20000 | D | ||||||||
| UMH Properties, Inc. |
\$9.77 | 4/5/2017 | 4/5/2024 | UMH Properties, Inc. |
4500 | 4500 | D |
(1) Includes 763.73 shares acquired through dividend reinvestment on 3/15/23, and 6,885 shares held in 401(k) as of 3/15/23.
| Reporting Owner Name / Address | Relationships | |||||
|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other |
| Koster Craig 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
General Counsel | ||
|---|---|---|---|
| /s/ Nelli Madden | 4/5/2023 |
|---|---|
| **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 if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
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) |
|||||
|---|---|---|---|---|---|---|---|
| QUIGLEY KENNETH K JR | 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 |
3/15/2023 | ||||||
| (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) |
Rule 10b5-1(c) Transaction Indication | ||||||
| ☐ 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. |
| 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. | 23843.02 (1) | D |
| 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) (I) (Instr. (Instr. 4) 4) |
or Indirect | ||||||
| UMH Properties,Inc. |
\$14.36 | 3/21/2024 3/21/2033 | UMH Properties,Inc. |
10000 | 10000 | D |
(1) Includes 233.53 shares acquired through dividend reinvestment on 3/15/23.
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| QUIGLEY KENNETH K JR 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
| /s/Nelli Madden | 4/5/2023 |
|---|---|
\\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 if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
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 | 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 | 3/15/2023 | ||||||
| (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) |
Rule 10b5-1(c) Transaction Indication | ||||||
| ☐ 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. |
| 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. | 42034.85 (1) | D | ||||||||
| UMH Properties, Inc. | 3978.13 (2) | I | Held by Spouse |
| 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. |
10000 | 10000 | D |
| Reporting Owner Name / Address | Relationships | |||||
|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||
| HIRSCH MATTHEW I | ||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | X | |||||
| FREEHOLD, NJ 07728 |
| /s/ Nelli Madden | 4/5/2023 |
|---|---|
| **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 if no longer |
|---|
| subject to Section 16. Form 4 or |
| Form 5 obligations may |
| continue. See Instruction 1(b). |
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
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 | 3/15/2023 | |||||
| (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) |
Rule 10b5-1(c) Transaction Indication | |||||
| ☐ 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. |
| 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. | 14157.61 (1) | D |
| 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. |
10000 | 10000 | D |
(1) Includes 186.2 shares acquired through dividend reinvestment on 3/15/23.
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Mitchell William Edward | |||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | X | ||||||
| FREEHOLD, NJ 07728 |
| /s/ Nelli Madden | 4/5/2023 | |
|---|---|---|
| -- | ------------------ | ---------- |
\\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 if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
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 (Last) (First) (Middle) |
UMH PROPERTIES, INC. [ UMH ] 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 | 3/15/2023 | ||||
| (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) |
Rule 10b5-1(c) Transaction Indication | ||||
| ☐ 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. |
| 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. | 17134.48 (1) | D | ||||||||
| UMH Properties, Inc. | 254.9 (2) | I | Custodial account for Son, Daniel |
|||||||
| UMH Properties, Inc. | 254.9 (3) | I | Custodial account for Son, Ethan |
|||||||
| UMH Properties, Inc. (Preferred D) | 500 | D |
| 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. |
10000 | 10000 | D |
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||||
| Carus Jeffrey A 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
/s/ Nelli Madden 4/5/2023
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Note: 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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