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Umh — Director's Dealing 2023
Mar 26, 2023
7099_rns_2023-03-26_d2ba7412-f4d1-44a4-9dad-17597f6bb073.pdf
Director's Dealing
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| FORM 4 |
|---|
| -------- |
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) |
|||||
|---|---|---|---|---|---|---|---|
| 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 | 3/21/2023 | ||||||
| (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. |
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) |
(Instr. 3, 4 and 5) | 4. Securities Acquired (A) or Disposed of (D) |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 16874.44 | D | |||
| UMH Properties, Inc. | 251.31 | I | Custodial account for Son, Daniel |
|||||||
| UMH Properties, Inc. | 251.31 | 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 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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
(1) Stock award for Directors.
(2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024; 2,000 shares vesting on 3/21/2025; 2,000 shares vesting on 3/21/2026; 2,000 shares vesting on 3/21/2027; and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Carus Jeffrey A | |||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | X | ||||||
| FREEHOLD, NJ 07728 |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| **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.
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) |
||||
|---|---|---|---|---|---|---|
| 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 |
3/21/2023 | |||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 23609.49 | 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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
- (1) Stock award for Directors.
- (2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024; 2,000 shares vesting on 3/21/2025; 2,000 shares vesting on 3/21/2026; 2,000 shares vesting on 3/21/2027; and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||
|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||
| QUIGLEY KENNETH K JR 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| ------------------ | ----------- |
\\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). |
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) |
||||||
|---|---|---|---|---|---|---|---|---|
| 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 | 3/21/2023 | |||||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 13971.41 | 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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
- (1) Stock award for Directors.
- (2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024 2,000 shares vesting on 3/21/2025 2,000 shares vesting on 3/21/2026 2,000 shares vesting on 3/21/2027 and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||||
| Mitchell William Edward 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
\\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). |
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) |
||||||
|---|---|---|---|---|---|---|---|---|
| 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 | 3/21/2023 | |||||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 7013.74 | 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 |
10. Ownership Form of Derivative |
11. Nature of Indirect Beneficial Ownership |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Security | Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Owned Following Reported Transaction(s) (Instr. 4) |
Security: Direct (D) or Indirect (I) (Instr. 4) |
(Instr. 4) | ||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
- (1) Stock award for Directors.
- (2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024; 2,000 shares vesting on 3/21/2025; 2,000 shares vesting on 3/21/2026; 2,000 shares vesting on 3/21/2027; and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| BUTEWICZ AMY LYNN 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
\\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.
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) |
|||||
|---|---|---|---|---|---|---|---|
| PRUITT ANGELA D. |
UMH PROPERTIES, INC. [ UMH ] | 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, SUITE 3C |
3/21/2023 | ||||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 4606.96 | 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. 3A. Deemed 4. Trans. 5. Number of Date Execution Code Derivative Securities Date, if any (Instr. 8) 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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
- (1) Stock award for Directors.
- (2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024; 2,000 shares vesting on 3/21/2025; 2,000 shares vesting on 3/21/2026; 2,000 shares vesting on 3/21/2027; and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| PRUITT ANGELA D. 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| ------------------ | ----------- |
\\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.
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 | ||||
|---|---|---|---|---|---|---|
| Conway Kiernan (Last) (First) (Middle) |
UMH PROPERTIES, INC. [ UMH ] 3. Date of Earliest Transaction (MM/DD/YYYY) |
(Check all applicable) X Director _ 10% Owner Officer (give title below) __ Other (specify below) |
||||
| JUNIPER BUSINESS PLAZA, 3499 |
3/21/2023 | |||||
| ROUTE 9 NORTH, SUITE 3C | ||||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 2963.15 | 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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
(1) Stock award for Directors.
(2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024 2,000 shares vesting on 3/21/2025 2,000 shares vesting on 3/21/2026 2,000 shares vesting on 3/21/2027 and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||||
|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | ||||||
| Conway Kiernan JUNIPER BUSINESS PLAZA 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| **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). |
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) |
|||
|---|---|---|---|---|---|
| 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 |
3/21/2023 | ||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 12684.85 | 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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
- (1) Stock award for Directors.
- (2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024 2,000 shares vesting on 3/21/2025 2,000 shares vesting on 3/21/2026 2,000 shares vesting on 3/21/2027 and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| Levy Stuart 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
X |
Signatures
\\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.
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 | 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 | 3/21/2023 | ||||||
| (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. |
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. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 41462.65 | D | |||
| UMH Properties, Inc. | 3921.71 | I | Held by Spouse |
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 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
(1) Stock award for Directors.
(2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows 2,000 shares vesting on 3/21/2024 2,000 shares vesting on 3/21/2025 2,000 shares vesting on 3/21/2026 2,000 shares vesting on 3/21/2027 and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| HIRSCH MATTHEW I | |||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | X | ||||||
| FREEHOLD, NJ 07728 |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| **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.
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 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 | 3/21/2023 | |||||
| (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. |
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 (Instr. 4) |
||
|---|---|---|---|---|---|---|---|---|---|
| Code | V Amount | (A) or (D) |
Price | or Indirect (I) (Instr. 4) |
|||||
| UMH Properties, Inc. | 3/21/2023 | A | 958 (1) | A | \$14.36 | 271551.71 | D | ||
| UMH Properties, Inc. | 19833.49 | I | Held by Spouse | ||||||
| UMH Properties, Inc. | 56765.55 | I | Account is C/F Daughter Monica |
||||||
| UMH Properties, Inc. | 16459.46 | I | Account is C/F Son Aaron |
||||||
| UMH Properties, Inc. | 48000 | I | Co-Manager of EWLGrandchildren Fund LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. 3. Trans. 3A. Deemed Conversion Date Execution or Exercise Date, if any Price of |
4. Trans. Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) |
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 |
10. Ownership Form of Derivative |
11. Nature of Indirect Beneficial Ownership |
||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative Security |
Code | V | (Instr. 3, 4 and 5) (A) |
(D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Owned Following Reported Transaction(s) (Instr. 4) |
Security: Direct (D) or Indirect (I) (Instr. 4) |
(Instr. 4) | ||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2023 | A | 10000 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
10000 | \$14.36 | 10000 | D |
Explanation of Responses:
(1) Stock award for Directors.
(2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 2,000 shares vesting on 3/21/2024 2,000 shares vesting on 3/21/2025 2,000 shares vesting on 3/21/2026 2,000 shares vesting on 3/21/2027 and 2,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficerOther | |||||||
| LANDY MICHAEL P | |||||||
| 3499 ROUTE 9 N STE 3-C | X | ||||||
| FREEHOLD, NJ 07728 |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| **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.
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) |
||||
|---|---|---|---|---|---|---|
| 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 |
3/21/2023 | 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. |
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. | 60346.61 | 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 | 3/21/2023 | A | 75000 (1) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
75000 | \$14.36 | 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 |
Explanation of Responses:
(1) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 15,000 shares vesting on 3/21/2024; 15,000 shares vesting on 3/21/2025; 15,000 shares vesting on 3/21/2026; 15,000 shares vesting on 3/21/2027; and 15,000 shares vesting on 3/21/2028.
| Reporting Owner Name / Address | Relationships | |||||||
|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | |||||||
| Koster Craig 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
General Counsel |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
\\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.
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) |
||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Taft Brett | UMH PROPERTIES, INC. [ UMH ] | |||||||||||||||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | _____ Director | _____ 10% Owner | |||||||||||||||
| 3499 ROUTE 9 NORTH, SUITE 3C |
3/21/2023 | X Officer (give title below) _____ Other (specify below) Chief Operating Officer |
||||||||||||||||
| (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. |
||||||||||||||||||
| 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. Ownership |
7. Nature | ||||||||||||
| (Instr. 3) | Execution Date, if any |
(Instr. 8) | or Disposed of (D) (Instr. 3, 4 and 5) |
Following Reported Transaction(s) (Instr. 3 and 4) |
Form: | of Indirect Beneficial |
||||||||||||
| Direct (D) or Indirect |
Ownership (Instr. 4) |
|||||||||||||||||
| Code | V | Amount | (A) or (D) |
Price | (I) (Instr. 4) |
|||||||||||||
| UMH Properties, Inc. | 66182.87 | 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 |
Derivative Security (Instr. 3 and 4) |
7. Title and Amount of 8. Price of Securities Underlying 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 | 3/21/2023 | A | 75000 (1) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
75000 | \$14.36 | 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. |
50000 | 50000 | D | ||||||||||||
| UMH Properties, Inc. |
\$11.42 | 1/2/2020 | 1/2/2029 | UMH Properties, Inc. |
40000 | 40000 | 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. |
20000 | 20000 | D |
Explanation of Responses:
(1) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 15,000 shares vesting on 3/21/2024 15,000 shares vesting on 3/21/2025 15,000 shares vesting on 3/21/2026 15,000 shares vesting on 3/21/2027 and 15,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| **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.
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 | |||||||
|---|---|---|---|---|---|---|---|---|---|
| LANDY DANIEL O. | UMH PROPERTIES, INC. [ UMH ] | (Check all applicable) | |||||||
| (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 |
3/21/2023 | President of OZ Fund and EVP | |||||||
| (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. |
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. | 68604.53 | D | |||||||
| UMH Properties, Inc. | 43169.34 | I | The Landy 2022 Family Trust |
||||||
| UMH Properties, Inc. | 37903 | I | Juniper Plaza Associates, LTD. |
||||||
| UMH Properties, Inc. | 16220 | I | Samuel Landy Family LTD Partnership |
||||||
| UMH Properties, Inc. | 24670 | 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 |
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 | 3/21/2023 | A | 75000 (1) | 3/21/2024 | 3/21/2033 | UMH Properties, Inc. |
75000 | \$14.36 | 75000 | D | ||||
| UMH Properties, Inc. |
\$23.81 | 3/28/2023 | 3/28/2032 | UMH Properties, Inc. |
78100 | 78100 | D | ||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 | 7/14/2031 | UMH Properties, Inc. |
100000 | 100000 | D | ||||||||
| UMH Properties, Inc. |
\$9.7 | 3/25/2021 | 3/25/2030 | UMH Properties, Inc. |
80000 | 80000 | D | ||||||||
| UMH Properties, Inc. |
\$13.9 | 4/2/2020 | 4/2/2029 | UMH Properties, Inc. |
100000 | 100000 | D |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of Derivate 2. Security Conversion (Instr. 3) 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. |
\$12.94 | 12/10/2019 12/10/2028 | UMH Properties, Inc. |
25000 | 25000 | D | |||||||||
| UMH Properties, Inc. |
\$15.75 | 7/9/2019 | 7/9/2028 | UMH Properties, Inc. |
10000 | 10000 | D | ||||||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
1000 | 1000 | D |
Explanation of Responses:
(1) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 15,000 shares vesting on 3/21/2024: 15,000 shares vesting on 3/21/2025: 15,000 shares vesting on 3/21/2026: 15,000 shares vesting on 3/21/2027: and 15,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | ||||||||
| LANDY DANIEL O. 3499 ROUTE 9 NORTH SUITE 3C FREEHOLD, NJ 07728 |
President of OZ Fund and EVP |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| ------------------ | ----------- |
\\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 |
|---|
| -------- |
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 SAMUELA | UMH PROPERTIES, INC. [ UMH ] | X Director _____ 10% Owner |
|||||
| (Last) (First) (Middle) |
3. Date of Earliest Transaction (MM/DD/YYYY) | X Officer (give title below) _____ Other (specify below) |
|||||
| 3499 ROUTE 9 NORTH, SUITE 3C | 3/21/2023 | 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 |
||||||
| (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. |
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. | 3/21/2023 | A | 54700 (1) | A | \$14.36 | 845658.14 | D | |||
| UMH Properties, Inc. | 10532.53 | I | Held by Spouse |
|||||||
| UMH Properties, Inc. | 44080.14 | I | Held with Spouse |
|||||||
| UMH Properties, Inc. | 43169.34 | I | The Landy 2022 Family Trust |
|||||||
| UMH Properties, Inc., | 48000 | 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 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 | 3/21/2023 | A | 29500 (2) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
29500 | \$14.36 | 29500 | D | |||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
50000 | 50000 | D | ||||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
50000 | 50000 | D | ||||||||
| UMH Properties, Inc. |
\$14.25 | 1/19/2018 1/19/2027 | UMH Properties, Inc. |
50000 | 50000 | D |
Explanation of Responses:
(1) Restricted Stock Issuance: Vesting Schedule: 20% each year upon the first anniversary of Grant Date.
(2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows 5,900 shares vesting on 3/21/2024 5,900 shares vesting on 3/21/2025 5,900 shares vesting on 3/21/2026 5,900 shares vesting on 3/21/2027 and 5,900 shares vesting on 3/21/2028.
| Reporting Owner Name / Address | Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | ||||||||
| LANDY SAMUELA 3499 ROUTE 9 NORTH, SUITE 3C FREEHOLD, NJ 07728 |
X | President and CEO |
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
\\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.
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) |
|||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CHEW | T | ||||||||||||||||||
| ANNA | UMH PROPERTIES, INC. [ UMH ] 3. Date of Earliest Transaction (MM/DD/YYYY) |
X Director _____ 10% Owner |
|||||||||||||||||
| (Last) | (First) | (Middle) | X Officer (give title below) _____ Other (specify below) |
||||||||||||||||
| 3499 ROUTE 9 NORTH, SUITE 3C | 3/21/2023 | Chief Financial Officer | |||||||||||||||||
| (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. | |||||||||||||||||||
| 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 Date, if any |
(Instr. 8) | or Disposed of (D) (Instr. 3, 4 and 5) |
Following Reported Transaction(s) (Instr. 3 and 4) |
Ownership Form: |
of Indirect Beneficial |
|||||||||||||
| Direct (D) | Ownership | ||||||||||||||||||
| (A) or | or Indirect (I) (Instr. |
(Instr. 4) | |||||||||||||||||
| Code | V | Amount | (D) | Price | 4) | ||||||||||||||
| UMH Properties, Inc. | 3/21/2023 | A | 43800 (1) | A | \$14.36 | 795786.35 | D | ||||||||||||
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||
| 1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||
| Security | Conversion | Date | Execution | Code | Derivative Securities | and Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | ||||||||
| (Instr. 3) | or Exercise Price of |
Date, if any | (Instr. 8) | Acquired (A) or Disposed of (D) |
Derivative Security (Instr. 3 and 4) |
Security (Instr. 5) |
Securities Beneficially |
Form of Derivative |
Beneficial Ownership |
||||||||||
| Derivative Security |
(Instr. 3, 4 and 5) | Owned Following |
Security: Direct (D) |
(Instr. 4) | |||||||||||||||
| Date | Expiration | Amount or | Reported | or Indirect | |||||||||||||||
| Code | V (A) |
(D) | Exercisable | Date | Title | Number of Shares |
Transaction(s) (Instr. 4) |
(I) (Instr. 4) |
|||||||||||
| UMH | |||||||||||||||||||
| UMH Properties, Inc. |
\$14.36 | 3/21/2023 | A | 75000 (2) | 3/21/2024 3/21/2033 | Properties, | 75000 | \$14.36 | 75000 | D | |||||||||
| Inc. UMH |
|||||||||||||||||||
| UMH Properties, Inc. |
\$23.81 | 3/28/2023 3/28/2032 | Properties, | 39000 | 39000 | D | |||||||||||||
| Inc. | |||||||||||||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 7/14/2031 | UMH Properties, |
50000 | 50000 | D | |||||||||||||
| Inc. | |||||||||||||||||||
| UMH Properties, | \$9.7 | 3/25/2021 3/25/2030 | UMH Properties, |
30000 | 30000 | D | |||||||||||||
| Inc. | Inc. | ||||||||||||||||||
| UMH Properties, | \$13.9 | 4/2/2020 | 4/2/2029 | UMH Properties, |
50000 | 50000 | D | ||||||||||||
| Inc. | Inc. | ||||||||||||||||||
| UMH Properties, | UMH | ||||||||||||||||||
| Inc. | \$15.04 | 4/4/2018 | 4/4/2027 | Properties, Inc. |
50000 | 50000 | D | ||||||||||||
| UMH Properties, | UMH | ||||||||||||||||||
| Inc. | \$14.25 | 1/19/2018 1/19/2027 | Properties, Inc. |
10000 | 10000 | D |
Explanation of Responses:
(1) Restricted Stock Issuance: Vesting Schedule: 20% each year upon the first anniversary of Grant Date.
(2) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 15,000 shares vesting on 3/21/2024 15,000 shares vesting on 3/21/2025 15,000 shares vesting on 3/21/2026 15,000 shares vesting on 3/21/2027 and 15,000 shares vesting on 3/21/2028.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||
|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other |
X Chief Financial Officer
Signatures
| /s/ Nelli Madden | 3/23/2023 |
|---|---|
| **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.
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 EUGENE W | 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 RT. 9 NORTH, SUITE 3-C |
3/21/2023 | Chairman of the Board | ||||||
| (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. |
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) |
or Disposed of (D) (Instr. 3, 4 and 5) |
4. Securities Acquired (A) | 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. | 904146.044 | D | |||||||
| UMH Properties, Inc. | 112849 | I | The Sheltered Family Trust |
||||||
| UMH Properties, Inc. | 122880 | I | Eugene W. and Gloria Landy Family Foundation |
||||||
| UMH Properties, Inc. | 172607.725 | I | Landy Investments |
||||||
| UMH Properties, Inc. | 33561.288 | I | Landy & Landy Employees' Pension Plan |
||||||
| UMH Properties, Inc. | 42912.51 | I | Landy & Landy Employees' Profit Sharing Plan |
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 | 3/21/2023 | A | 75000 (1) | 3/21/2024 3/21/2033 | UMH Properties, Inc. |
75000 | \$14.36 | 75000 | D | |||||
| UMH Properties, Inc. |
\$18.52 | 9/9/2023 | 9/9/2032 | UMH Properties, Inc. |
100000 | 100000 | D | ||||||||
| UMH Properties, Inc. |
\$22.57 | 7/14/2022 7/14/2031 | UMH Properties, Inc. |
100000 (2) | 100000 | D | |||||||||
| UMH Properties, Inc. |
\$9.7 | 3/25/2021 3/25/2030 | UMH Properties, Inc. |
100000 | 100000 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. 3. Trans. 3A. Deemed 4. Trans. 5. Number of Conversion Date Execution Code Derivative Securities or Exercise Date, if any (Instr. 8) Acquired (A) or Price of Disposed of (D) Derivative (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. |
\$13.9 | 4/2/2020 | 4/2/2029 | UMH Properties, Inc. |
100000 | 100000 | D | |||||||
| UMH Properties, Inc. |
\$13.09 | 4/2/2019 | 4/2/2028 | UMH Properties, Inc. |
100000 | 100000 | D | |||||||
| UMH Properties, Inc. |
\$15.04 | 4/4/2018 | 4/4/2027 | UMH Properties, Inc. |
100000 | 100000 | D | |||||||
| UMH Properties, Inc. |
\$9.77 | 4/5/2017 | 4/5/2024 | UMH Properties, Inc. |
100000 | 100000 | D |
Explanation of Responses:
- (1) This stock option will vest over the next five years, 20% per year on each anniversary date as follows: 15,000 shares vesting on 3/21/2024; 15,000 shares vesting on 3/21/2025; 15,000 shares vesting on 3/21/2026; 15,000 shares vesting on 3/21/2027; and 15,000 shares vesting on 3/21/2028.
- (2) This stock option was inadvertently omitted from prior Form 4s but was previously disclosed on the 7/14/2021 Form 4.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | ||||||||
| LANDY EUGENE W 3499 RT. 9 NORTH SUITE 3-C FREEHOLD, NJ 07728 |
X | Chairman of the Board |
Signatures
| /s/ Eugene W. Landy | 3/23/2023 |
|---|---|
\\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.