SEC Form 4 · accession 0001365555-16-000198
Amtrust Financial Services, Inc. · AFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Ungar
Officer — SVP, GC and Secretary
Period of report
Feb 3, 2016
Accepted (ET)
Feb 4, 2016 · 4:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001365555
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 3, 2016 | M | 4,500 | $6.2066 | A | 163,686 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $6.2066 | Feb 3, 2016 | M | 4,500 | D | Feb 15, 2009 | Feb 15, 2018 | Common Stock | 4,500 | 27,778 | D |
Explanation of responses
- F1On February 2, 2016, the common stock of AmTrust Financial Services, Inc. split two-for-one, resulting in the reporting person's ownership of 79,593 additional shares of common stock.
- F2This option was previously reported as covering 16,139 shares at an exercise price of $12.4133 per share, but was adjusted to reflect the two-for-one stock split that occurred on February 2, 2016.