SEC Form 4 · accession 0001179110-16-017068
AFFILIATED MANAGERS GROUP, INC. · AMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay C. Horgen
Officer — CFO and Treasurer
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 4:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001004434
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 15, 2015 | G | 288 | $0.00 | D | 33,813 | D | |
| Common Stock | Jan 1, 2016 | M | 4,398 | $0.00 | A | 38,211 | D | |
| Common Stock | Jan 1, 2016 | M | 5,498 | $0.00 | A | 43,709 | D | |
| Common StockF1 | Jan 1, 2016 | F | 3,686 | $159.76 | D | 40,023 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock UnitsF2 | $0.00 | Jan 1, 2016 | M | 4,398 | D | — | — | Common Stock | 4,398 | 4,398 | D |
| Stock UnitsF3 | $0.00 | Jan 1, 2016 | M | 5,498 | D | — | — | Common Stock | 5,498 | 16,495 | D |
Explanation of responses
- F1Reflects the automatic surrender of shares of common stock to the Company to satisfy tax withholding obligations related to the vesting of certain previously reported awards.
- F2Reflects the vesting of an award previously reported in January 2014. Award vests in four equal installments from 2014 to 2017.
- F3Reflects the vesting of an award previously reported in January 2015. Award vests in four equal installments from 2016 to 2019.