SEC Form 4 · accession 0001209191-18-061354
ASSURED GUARANTY LTD · AGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Donnarumma
Officer — Chief Credit Officer
Period of report
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 5:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001273813
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Dec 3, 2018 | M | 5,000 | $7.44 | A | 83,322 | D | |
| Common Shares | Dec 3, 2018 | S | 3,078 | $42.00 | D | 80,244 | D | |
| Common Shares | Dec 3, 2018 | M | 2,241 | $17.44 | A | 82,485 | D | |
| Common Shares | Dec 3, 2018 | S | 1,635 | $41.50 | D | 80,850 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Acquire Common SharesF2,F1 | $7.44 | Dec 3, 2018 | M | 5,000 | D | — | Feb 5, 2019 | Common Shares | 5,000 | 16,085 | D |
| Options to Acquire Common SharesF2 | $17.44 | Dec 3, 2018 | M | 2,241 | D | Feb 9, 2015 | Feb 9, 2019 | Common Shares | 2,241 | 13,844 | D |
Explanation of responses
- F1Options vested as follows: 1/3 on February 5, 2010, 1/3 on February 5, 2011 and 1/3 on February 5, 2012.
- F2Total includes options from other tranches with different exercise prices, vesting dates and expiration dates, but does not include 26,435 performance share units of various tranches.