SEC Form 4 · accession 0001209191-18-060107
Manning & Napier, Inc. · MN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul John Battaglia Jr.
Officer — Chief Financial Officer
Period of report
Nov 26, 2018
Accepted (ET)
Nov 28, 2018 · 4:09 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 | Nov 26, 2018 | A | 20,536 | $0.00 | A | 22,761 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 20,536 restricted stock units that will convert to common stock on a one-for-one basis. The restricted stock units are subject to time vesting, with one-third of such restricted stock units vesting on each of December 3, 2019, December 3, 2020, and December 3, 2021.