SEC Form 4 · accession 0001127602-16-048288
Fidelity National Financial, Inc. · FNF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas K Ammerman
Director
Period of report
Mar 31, 2016
Accepted (ET)
Apr 4, 2016 · 1:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001331875
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| FNF Group Common Stock | Mar 31, 2016 | M | 49,127 | $6.16 | A | 122,428 | D | |
| FNF Group Common StockF1 | Mar 31, 2016 | S | 49,127 | $33.73 | D | 73,301 | D | |
| FNF Group Common Stock | Mar 31, 2016 | M | 11,514 | $12.22 | A | 84,815 | D | |
| FNF Group Common StockF2 | Mar 31, 2016 | S | 11,514 | $33.904 | D | 73,301 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| FNF Group Stock Option (right To Purchase)F3 | $6.16 | Mar 31, 2016 | M | 49,127 | D | — | Oct 27, 2016 | FNF Group Common Stock | 49,127 | 0 | D |
| FNF Group Stock Option (right To Purchase)F4 | $12.22 | Mar 31, 2016 | M | 11,514 | D | — | Nov 23, 2016 | FNF Group Common Stock | 11,514 | 0 | D |
| FNF Group Phantom StockF5,F7,F6 | — | Mar 31, 2016 | A | 326 | A | — | — | FNF Group Common Stock | 326 | 10,991 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $33.61 to $33.92. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the shares sold at each separate price.
- F2This transaction was executed in multiple trades at prices ranging from $33.82 to $33.99. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- F3The options vested in three equal annual installments beginning October 27, 2009.
- F4The options vested in three equal annual installments beginning November 23, 2010.
- F5Phantom stock acquired by the reporting person pursuant to the Deferred Compensation Plan.
- F6Each share of phantom stock is the economic equivalent of one share of FNF Group common stock.
- F7Shares of phantom stock are payable in cash following the reporting person's termination of service as a director.