SEC Form 4 · accession 0001209191-15-000713
Manning & Napier, Inc. · MN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Mikolaichik
Officer — Chief Financial Officer
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 2:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001524223
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, par value $0.01F1 | Dec 31, 2014 | M | 12,753 | — | A | 51,667 | D | |
| Class A Common Stock, par value $0.01 | Dec 31, 2014 | F | 4,632 | $13.82 | D | 47,035 | 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 UnitsF1,F2 | — | Dec 31, 2014 | M | 12,753 | D | — | — | Class A Common Stock | 12,753 | 64,701 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On April 30, 2013, the reporting person was granted 12,753 restricted stock units, which vested on December 31, 2014.