Statement of Changes in Beneficial Ownership (4)
10 1월 2017 - 7:26AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Lewis Geoffrey Manfred
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2. Issuer Name
and
Ticker or Trading Symbol
American Farmland Co
[
AFCO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CFO and Treasurer
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(Last)
(First)
(Middle)
C/O AMERICAN FARMLAND COMPANY, 10 EAST 53RD STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/31/2016
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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10/31/2016
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C
(1)
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5518
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A
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$0.00
(1)
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16564
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D
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Common Stock
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1/5/2017
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A
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870
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A
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$0.00
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17434
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D
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Common Stock
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1/5/2017
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F
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244
(2)
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D
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$8.07
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17190
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D
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Common Stock
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1000
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I
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See Footnote below
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Common Units
(4)
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(4)
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10/31/2016
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C
(1)
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5518
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(4)
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(4)
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Common Stock
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5518
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(1)
(4)
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0
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D
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Common Units
(4)
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(4)
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(4)
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(4)
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Common Stock
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30179
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30179
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I
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See Footnote
(5)
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Explanation of Responses:
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(
1)
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5,518 of the Reporting Person's common units of limited partnership interest ("common units") in American Farmland Company L.P. (the "Partnership"), of which the Issuer is the sole general partner, were redeemed for an equal number of shares of the Issuer's common stock in accordance with the Second Amended and Restated Agreement of Limited Partnership Agreement of the Partnership (the "Partnership Agreement").
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(
2)
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Represents shares retained by the Issuer to satisfy withholding obligations on 870 shares of restricted stock granted to the Reporting Person on January 5, 2017.
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(
3)
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These securities are held by The Yachad Foundation, of which the Reporting Person is an officer. The Reporting Person disclaims beneficial ownership of the shares held by The Yachad Foundation except to the extent of his pecuniary interest therein, if any.
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(
4)
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Represents common units in the Partnership. Pursuant to the Partnership Agreement, a holder of common units of the Partnership has the right to require the Partnership to redeem all or a portion of the common units held by such holder. Upon a redemption request, the Issuer has the option to purchase the common units directly, either in cash equal to the fair market value of a share of the Issuer's common stock or by acquiring each common unit so presented for redemption for one share of common stock of the Issuer. These derivative securities do not have an expiration date.
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(
5)
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Held directly by Optima Group Holdings LLC, in which the Reporting Person has an ownership interest. The Reporting Person disclaims beneficial ownership of the shares held by Optima Group Holdings LLC except to the extent of his pecuniary interest therein, if any.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Lewis Geoffrey Manfred
C/O AMERICAN FARMLAND COMPANY
10 EAST 53RD STREET
NEW YORK, NY 10022
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X
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CFO and Treasurer
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Signatures
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/s/ Thomas S.T. Gimbel, Attorney-in-Fact
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1/9/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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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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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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AMERICAN FARMLAND CO (AMEX:AFCO)
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부터 5월(5) 2024 으로 6월(6) 2024
AMERICAN FARMLAND CO (AMEX:AFCO)
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부터 6월(6) 2023 으로 6월(6) 2024
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