SEC Form 4 · accession 0001209191-18-017044
AXIS CAPITAL HOLDINGS LTD · AXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Vogt
Officer — EVP and CFO
Period of report
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 9:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001214816
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Mar 1, 2018 | M | 1,692 | $0.00 | A | 26,802 | D | |
| Common Shares | Mar 1, 2018 | D | 846 | $47.86 | D | 25,956 | D | |
| Common Shares | Mar 1, 2018 | M | 1,462 | $0.00 | A | 27,418 | D | |
| Common Shares | Mar 1, 2018 | D | 731 | $47.86 | D | 26,687 | D | |
| Common Shares | Mar 1, 2018 | M | 1,394 | $0.00 | A | 28,081 | D | |
| Common Shares | Mar 1, 2018 | D | 697 | $47.86 | D | 27,384 | D | |
| Common Shares | Mar 1, 2018 | M | 1,562 | $0.00 | A | 28,946 | D | |
| Common Shares | Mar 1, 2018 | D | 781 | $47.86 | A | 28,165 | D | |
| Common Shares | Mar 1, 2018 | F | 880 | $47.86 | D | 27,285 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Mar 1, 2018 | M | 1,692 | D | — | — | Common Shares | 1,692 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Mar 1, 2018 | M | 1,462 | D | — | — | Common Shares | 1,462 | 1,462 | D |
| Restricted Stock UnitsF1,F4 | — | Mar 1, 2018 | M | 1,394 | D | — | — | Common Shares | 1,394 | 2,788 | D |
| Restricted Stock UnitsF1,F5 | — | Mar 1, 2018 | M | 1,562 | D | — | — | Common Shares | 1,562 | 4,687 | D |
Explanation of responses
- F1Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).
- F2The restricted stock units vest in four equal annual installments beginning March 1, 2015.
- F3The restricted stock units vest in four equal annual installments beginning March 1, 2016.
- F4The restricted stock units vest in four equal annual installments beginning March 1, 2017.
- F5The restricted stock units vest in four equal annual installments beginning March 1, 2018.