SEC Form 4 · accession 0001209191-19-016895
AXIS CAPITAL HOLDINGS LTD · AXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Conrad D. Brooks
Officer — General Counsel & Sec
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 6:05 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, 2019 | M | 1,316 | $0.00 | A | 24,216 | D | |
| Common Shares | Mar 1, 2019 | D | 658 | $57.24 | D | 23,558 | D | |
| Common Shares | Mar 1, 2019 | M | 1,394 | $0.00 | A | 24,952 | D | |
| Common Shares | Mar 1, 2019 | D | 697 | $57.24 | D | 24,255 | D | |
| Common Shares | Mar 1, 2019 | M | 1,367 | $0.00 | A | 25,622 | D | |
| Common Shares | Mar 1, 2019 | D | 683 | $57.24 | D | 24,939 | D | |
| Common Shares | Mar 1, 2019 | F | 1,369 | $57.24 | D | 23,570 | 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, 2019 | M | 1,316 | D | — | — | Common Shares | 1,316 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Mar 1, 2019 | M | 1,394 | D | — | — | Common Shares | 1,394 | 1,394 | D |
| Restricted Stock UnitsF1,F4 | — | Mar 1, 2019 | M | 1,367 | D | — | — | Common Shares | 1,367 | 2,734 | 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, 2016.
- F3The restricted stock units vest in four equal annual installments beginning March 1, 2017.
- F4The restricted stock units vest in four equal annual installments beginning March 1, 2018.