SEC Form 4 · accession 0001179110-17-000103
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, 2017
Accepted (ET)
Jan 3, 2017 · 5:42 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 | Jun 20, 2016 | G | 600 | $0.00 | D | 69,713 | D | |
| Common Stock | Jan 1, 2017 | M | 4,398 | $0.00 | A | 74,111 | D | |
| Common Stock | Jan 1, 2017 | M | 5,498 | $0.00 | A | 79,609 | D | |
| Common Stock | Jan 2, 2017 | M | 6,207 | $0.00 | A | 85,816 | D | |
| Common StockF1 | Jan 2, 2017 | F | 9,621 | $145.30 | D | 76,195 | 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, 2017 | M | 4,398 | D | — | — | Common Stock | 4,398 | 0 | D |
| Stock UnitsF3 | $0.00 | Jan 1, 2017 | M | 5,498 | D | — | — | Common Stock | 5,498 | 10,997 | D |
| Stock UnitsF4 | $0.00 | Jan 2, 2017 | M | 6,207 | D | — | — | Common Stock | 6,207 | 20,295 | 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.
- F4Reflects the vesting of a portion of an award previously reported in December 2013. The remaining portion is subject to vesting from 2018 to 2021.