SEC Form 4 · accession 0001209191-16-116971
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
Apr 30, 2016
Accepted (ET)
May 3, 2016 · 3:36 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,F2 | Apr 30, 2016 | M | 31,949 | — | A | 102,477 | D | |
| Class A Common Stock, par value $0.01 | May 2, 2016 | F | 11,604 | $8.55 | D | 90,873 | 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,F3 | — | Apr 30, 2016 | M | 31,949 | D | — | — | Class A Common Stock | 31,949 | 32,752 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F223,493 of these shares represent unvested restricted stock units previously reported in Table I on Form 4.
- F3On April 30, 2013, the reporting person was granted 31,949 restricted stock units, which vested on April 30, 2016.