Delaware
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20-3068069
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(State or other jurisdiction of
incorporation or organization) |
(I.R.S. Employer
Identification No.) |
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111 Westwood Place, Suite 400
Brentwood, Tennessee |
37027
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(Address of principal executive offices)
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(Zip Code)
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Large accelerated filer T
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Accelerated filer £
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Non-accelerated filer £ (Do not check if a smaller reporting company)
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Smaller reporting company £
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Title of securities
to be
registered
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Amount
to be
registered (1)
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Proposed
maximum
offering
price per
share (2)
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Proposed
maximum
aggregate
offering
price (2)
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Amount of
registration
fee
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Common Stock, par value $0.01 per share
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1,200,000 shares
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$
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27.615
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$
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33,138,000
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$
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4,521
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(1) | Pursuant to Rule 416 under the Securities Act of 1933, as amended, this registration statement also covers additional shares that may become issuable under the above-named plan by reason of certain corporate transactions or events, including any stock dividend, stock split, recapitalization or any other similar transaction effected without the receipt of consideration which results in an increase in the number of the registrant's outstanding shares of common stock. |
(2) | The offering price is estimated solely for the purpose of determining the amount of the registration fee. Such estimate has been calculated in accordance with Rule 457(c) and Rule 457(h) and is based upon the average of the high and low prices per share of the registrant's Common Stock as reported on the New York Stock Exchange on January 25, 2013. |
Item 3.
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Incorporation of Documents by Reference.
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(a) | The Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2011; |
(b) | The Company's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2012; |
(c) | The Company's Quarterly Report on Form 10-Q for the fiscal quarter ended June 30, 2012; |
(d) | The Company's Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2012; |
(e) | The Company's Current Reports on Form 8-K filed with the SEC on February 17, 2012, May 3, 2012, June 15, 2012, July 3, 2012, August 7, 2012, August 9, 2012 and November 2, 2012; and |
(f) | The description of the Common Stock contained in the Registration Statement on Form 8-A dated October 11, 2005, filed with the SEC by the Company to register such securities under the Securities Exchange Act of 1934, as amended, including all amendments and reports filed for the purpose of updating such description prior to the termination of the offering of the Common Stock offered hereby. |
Item 5.
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Interests of Named Experts and Counsel.
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Item 8.
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Exhibits.
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4.1 | Amended and Restated Certificate of Incorporation of the Company (incorporated by reference to Exhibit 3.1 to the Company's Annual Report on Form 10-K filed on February 26, 2010). |
4.2 | Amended and Restated Bylaws of the Company (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on July 3, 2012). |
4.3 | Form of Certificate for common stock (incorporated by reference to Exhibit 4.1 to the Company's Registration Statement on Form S-1 (Amendment No. 3) (No. 333-127372) filed on November 7, 2005). |
4.4 | Stockholders Agreement, dated as of November 28, 2005, by and among Brookdale Senior Living Inc., FIT-ALT Investor LLC, Fortress Brookdale Acquisition LLC, Fortress Investment Trust II and Health Partners (incorporated by reference to Exhibit 4.2 to the Company's Annual Report on Form 10-K filed on March 31, 2006). |
4.5 | Amendment No. 1 to Stockholders Agreement, dated as of July 25, 2006, by and among Brookdale Senior Living Inc., FIT-ALT Investor LLC, Fortress Registered Investment Trust, Fortress Brookdale Investment Fund LLC, FRIT Holdings LLC, and FIT Holdings LLC (incorporated by reference to Exhibit 4.3 to the Company's Quarterly Report on Form 10-Q filed on August 14, 2006). |
4.6 | Amendment Number Two to Stockholders Agreement, dated as of November 4, 2009 (incorporated by reference to Exhibit 4.4 to the Company's Quarterly Report on Form 10-Q filed on November 4, 2009). |
5.1 | Opinion of T. Andrew Smith, Executive Vice President, General Counsel and Secretary of Brookdale Senior Living Inc. |
23.1 | Consent of Ernst & Young LLP. |
23.2 | Consent of T. Andrew Smith (included in Exhibit 5.1). |
24.1 | Powers of Attorney (included on the signature pages hereto). |
99.1 | Brookdale Senior Living Inc. Omnibus Stock Incentive Plan, as amended and restated effective June 23, 2009 (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on June 23, 2009). |
99.2 | First Amendment to Brookdale Senior Living Inc. Omnibus Stock Incentive Plan, as amended and restated, effective as of October 30, 2009 (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q filed on November 4, 2009). |
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BROOKDALE SENIOR LIVING INC.
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By:
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/s/ W.E. Sheriff
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Name:
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W.E. Sheriff
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Title:
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Chief Executive Officer
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Signature
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Title
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Date
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/s/ Jeffrey R. Leeds
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Non-Executive Chairman of the Board
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January 31, 2013
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Jeffrey R. Leeds
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/s/ W.E. Sheriff
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Chief Executive Officer and Director
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January 31, 2013
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W.E. Sheriff
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(Principal Executive Officer)
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/s/ Mark W. Ohlendorf
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Co-President and Chief Financial Officer
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January 31, 2013
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Mark W. Ohlendorf
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(Principal Financial and Accounting
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Officer)
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/s/ Frank M. Bumstead
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Director
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January 31, 2013
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Frank M. Bumstead
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Director
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January 31, 2013
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Jackie M. Clegg
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/s/ Wesley R. Edens
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Director
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January 31, 2013
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Wesley R. Edens
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/s/ Randal A. Nardone
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Director
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January 31, 2013
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Randal A. Nardone
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/s/ Mark J. Schulte
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Director
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January 31, 2013
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Mark J. Schulte
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/s/ James R. Seward
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Director
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January 31, 2013
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James R. Seward
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/s/ Samuel Waxman
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Director
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January 31, 2013
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Samuel Waxman
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Exhibit No.
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Description
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4.1 | Amended and Restated Certificate of Incorporation of the Company (incorporated by reference to Exhibit 3.1 to the Company's Annual Report on Form 10-K filed on February 26, 2010). |
4.2 | Amended and Restated Bylaws of the Company (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on July 3, 2012). |
4.3 | Form of Certificate for common stock (incorporated by reference to Exhibit 4.1 to the Company's Registration Statement on Form S-1 (Amendment No. 3) (No. 333-127372) filed on November 7, 2005). |
4.4 | Stockholders Agreement, dated as of November 28, 2005, by and among Brookdale Senior Living Inc., FIT-ALT Investor LLC, Fortress Brookdale Acquisition LLC, Fortress Investment Trust II and Health Partners (incorporated by reference to Exhibit 4.2 to the Company's Annual Report on Form 10-K filed on March 31, 2006). |
4.5 | Amendment No. 1 to Stockholders Agreement, dated as of July 25, 2006, by and among Brookdale Senior Living Inc., FIT-ALT Investor LLC, Fortress Registered Investment Trust, Fortress Brookdale Investment Fund LLC, FRIT Holdings LLC, and FIT Holdings LLC (incorporated by reference to Exhibit 4.3 to the Company's Quarterly Report on Form 10-Q filed on August 14, 2006). |
4.6 | Amendment Number Two to Stockholders Agreement, dated as of November 4, 2009 (incorporated by reference to Exhibit 4.4 to the Company's Quarterly Report on Form 10-Q filed on November 4, 2009). |
5.1 | Opinion of T. Andrew Smith, Executive Vice President, General Counsel and Secretary of Brookdale Senior Living Inc. |
23.1 | Consent of Ernst & Young LLP. |
23.2 | Consent of T. Andrew Smith (included in Exhibit 5.1). |
24.1 | Powers of Attorney (included on the signature pages hereto). |
99.1 | Brookdale Senior Living Inc. Omnibus Stock Incentive Plan, as amended and restated effective June 23, 2009 (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on June 23, 2009). |
99.2 | First Amendment to Brookdale Senior Living Inc. Omnibus Stock Incentive Plan, as amended and restated, effective as of October 30, 2009 (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q filed on November 4, 2009). |
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