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Umh — Major Shareholding Notification 2023
Mar 22, 2023
7099_rns_2023-03-22_fafa9b19-9fdb-47ba-aa03-d3d4c5bb41cb.pdf
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
| 1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
|||||||
|---|---|---|---|---|---|---|---|---|---|
| LANDY DANIEL O. | UMH PROPERTIES, INC. [ UMH ] | ||||||||
| (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 |
3/20/2023 | 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) Following Reported Transaction(s) (Instr. 3, 4 and 5) (Instr. 3 and 4) |
5. Amount of Securities Beneficially Owned | 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. | 3/20/2023 | P | 1000 (1) | A | \$14 | 24670 | I | Windsor Industrial Park Associates, LTD. |
||
| UMH Properties, Inc. (Preferred D) | 3/20/2023 | P | 900 (2) | A | \$21.21 | 900 | I | Windsor Industrial Park Associates, LTD. |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code (Instr. 8) |
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. |
\$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 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) |
Expiration Date | 6. Date Exercisable and | 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. 11. Nature Ownership of Indirect Form of Beneficial Derivative Ownership Security: (Instr. 4) Direct (D) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 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. |
\$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) Purchase of shares.
(2) Purchase of shares.
Reporting Owners
| Reporting Owner Name / Address | Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Director10% OwnerOfficer | Other | ||||||||
| LANDY DANIEL O. 3499 ROUTE 9 NORTH SUITE 3C |
President of OZ Fund and EVP | ||||||||
| FREEHOLD, NJ 07728 |
Signatures
/s/ Nelli Madden 3/22/2023
\\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.
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