SEC Form 4 · accession 0001209191-16-116968
Manning & Napier, Inc. · MN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B. Yates
Officer — Chief Legal Officer
Period of report
Apr 30, 2016
Accepted (ET)
May 3, 2016 · 3:33 pm EDT
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 | Apr 30, 2016 | M | 6,390 | — | A | 7,390 | D | |
| Class A Common Stock, par value $0.01 | May 2, 2016 | F | 2,321 | $8.55 | D | 5,069 | 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 | — | Apr 30, 2016 | M | 6,390 | D | — | — | Class A Common Stock | 6,390 | 0 | 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 6,390 restricted stock units, which vested on April 30, 2016.