SEC Form 4 · accession 0001209191-16-108162
ASSURANT, INC. · AIZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J Pagano
Officer — EVP, CFO & Treasurer
Period of report
Mar 10, 2016
Accepted (ET)
Mar 14, 2016 · 5:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001267238
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 10, 2016 | A | 5,291 | $0.00 | A | 75,703 | D | |
| Common StockF2,F3,F4 | Mar 11, 2016 | S | 2,000 | $77.4611 | D | 73,703 | D | |
| Common StockF5 | holding | — | — | — | 3,841 | I | By 401 (k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are represented by restricted stock units.
- F2The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 25, 2015.
- F3The price range in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.30 through $77.70, inclusive. The reporting person undertakes to provide Assurant, Inc., any security holder of Assurant, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price with the ranges set forth to this footnote to this Form 4.
- F4Includes restricted stock units.
- F5Between May 21, 2008 and December 31, 2015, Mr. Pagano acquired 3,840.826 shares of Assurant. Inc. common stock under the Assurant, Inc. 401(k) Plan. The information in this report is based on a plan statement dated as of December 31, 2015.