SEC Form 4 · accession 0001179110-19-000323
AFFILIATED MANAGERS GROUP, INC. · AMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathaniel Dalton
Officer — President and CEO · Director
Period of report
Jan 1, 2019
Accepted (ET)
Jan 3, 2019 · 6:27 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 | Feb 2, 2018 | G | 9,989 | $0.00 | D | 218,730 | D | |
| Common Stock | Feb 2, 2018 | G | 5,011 | $0.00 | D | 0 | I | By Spouse |
| Common Stock | Mar 13, 2018 | G | 612 | $0.00 | D | 218,118 | D | |
| Common Stock | Jan 1, 2019 | M | 6,447 | $0.00 | A | 224,565 | D | |
| Common StockF1 | Jan 1, 2019 | F | 8,956 | $97.44 | D | 215,609 | D | |
| Common StockF1 | Jan 2, 2019 | F | 624 | $98.23 | D | 214,985 | 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, 2019 | M | 6,447 | D | — | — | Common Stock | 6,447 | 0 | 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 2015. Award vested in four equal installments from 2016 to 2019.