SEC Form 4 · accession 0001209191-15-013837
Allied World Assurance Co Holdings, AG · AWH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wesley D Dupont
Officer — EVP & General Counsel
Period of report
Feb 12, 2015
Accepted (ET)
Feb 13, 2015 · 6:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001163348
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Feb 12, 2015 | M | 75,000 | $9.44 | A | 265,873 | D | |
| Common SharesF3,F1 | Feb 12, 2015 | S | 75,000 | $40.6643 | D | 190,873 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy)F4,F5 | $9.44 | Feb 12, 2015 | M | 75,000 | D | Dec 1, 2005 | Dec 1, 2015 | Common Shares | 75,000 | 0 | D |
Explanation of responses
- F1Reflects the issuer's 3-for-1 stock split paid on May 23, 2014.
- F2Includes 669 common shares acquired on June 30, 2014 and 7 common shares acquired on December 31, 2014 pursuant to the Company's Amended and Restated 2008 Employee Share Purchase Plan.
- F3Represents a weighted average sale price: the sales prices range from $40.51 to $40.80. Upon request, the full sale information regarding the number of shares sold at each price increment will be provided to the U.S. Securities Exchange Commission, the issuer or a security holder of the issuer.
- F4The exercise price and number of shares underlying the Employee Stock Options have been adjusted to reflect the issuer's 3-for-1 stock split paid on May 23, 2014.
- F5These securities vested in four equal annual installments with the first installment vesting on the date shown. The options exercised and sold were due to expire on December 1, 2015.