Current Report Filing (8-k)
11 9월 2021 - 5:11AM
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UNITED STATES
SECURITIES AND
EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to
Section 13 or 15(d)
of the Securities
Exchange Act of 1934
Date of
Report (Date of earliest event reported): September 9, 2021
Innovative Industrial
Properties, Inc.
(Exact name
of registrant as specified in its charter)
Maryland
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001-37949
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81-2963381
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File No.)
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(I.R.S. Employer
Identification No.)
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1389 Center
Drive, Suite 200
Park City, Utah
84098
(Address of
principal executive offices, including zip code)
Registrant’s
telephone number, including area code: (858) 997-3332
Check the appropriate box below if
the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions
(see General Instruction A.2. below):
¨
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant
to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company
¨
If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act. ¨
Securities Registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $0.001 per share
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IIPR
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New York Stock Exchange
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Series A Preferred Stock, par value $0.001 per share
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IIPR-PA
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New York Stock Exchange
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Item 8.01 Other Events.
On September 9, 2021,
Alan Gold, Innovative Industrial Properties, Inc.’s (the “Company”) Executive Chairman, entered into a pre-arranged
trading plan (the “Plan”) to sell a portion of his holdings in the Company’s 9.00% Series A Cumulative Redeemable Preferred
Stock, $0.001 par value per share (the “Series A Preferred Stock”), as a part of his personal long-term strategy for asset
diversification.
The Plan was designed
to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, and the Company’s insider trading policy.
Using these types of plans, insiders can gradually diversify their investment portfolios and spread stock trades out over an extended
period of time, while complying with insider trading laws. Under the Plan, Mr. Gold may sell up to 24,000 shares of the Company’s
Series A Preferred Stock.
Sales of these shares
of Series A Preferred Stock by Mr. Gold may begin as early as November 10, 2021, and will terminate no later than September 9, 2022,
unless terminated sooner in accordance with the Plan’s terms. All sales of shares under the Plan are subject to certain minimum
price conditions and maximum sale volume limitations. Under the terms of the Plan, Mr. Gold will have no discretion or control over the
timing or effectuation of any transactions in the Company’s Series A Preferred Stock pursuant to the Plan.
Transactions under the
Plan will be reported to the Securities and Exchange Commission in accordance with applicable securities laws, rules and regulations.
Similar trading plans may be adopted by the Company’s officers or directors in the future. The Company does not undertake to report
trading plans that may be adopted by any of its officers or directors in the future, or to report any modifications or termination of
any publicly announced plan, except to the extent required by law.
Item 9.01 Financial Statements and
Exhibits.
Exhibit Number
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Description of Exhibit
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104
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Cover Page Interactive
Data File (embedded within the Inline XBRL document).
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SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
Date: September 10, 2021
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INNOVATIVE
INDUSTRIAL PROPERTIES, INC.
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By:
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/s/
Catherine Hastings
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Name:
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Catherine Hastings
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Title:
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Chief Financial Officer
and Treasurer
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