SEC Form 4 · accession 0001365555-18-000034
Amtrust Financial Services, Inc. · AFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Donald T DeCarlo
Director
Period of report
Mar 5, 2018
Accepted (ET)
Mar 6, 2018 · 5:20 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 | Mar 5, 2018 | M | 2,172 | $0.00 | A | 114,010 | 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 UnitsF2,F3 | — | Mar 5, 2018 | M | 2,172 | D | — | — | Common Stock | 2,172 | 0 | D |
| Restricted Stock UnitsF2,F4 | — | Mar 5, 2018 | A | 5,469 | A | — | — | Common Stock | 5,469 | 5,469 | D |
Explanation of responses
- F1Acquisition of common stock resulting from the vesting of the restricted stock units granted to Mr. DeCarlo on March 5, 2017.
- F2Each restricted stock unit represents a contingent right to receive one share of AmTrust Financial Services, Inc.'s common stock.
- F3On March 5, 2017, Mr. DeCarlo received restricted stock units that will vest on the first year anniversary of the grant date. As restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date.
- F4On March 5, 2018, Mr. DeCarlo received restricted stock units that will vest on the first year anniversary of the grant date. As restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date.