SEC Form 4 · accession 0001209191-15-042407
Fidelity & Guaranty Life · FGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J Littlefield
Officer — President & CEO · Director
Period of report
May 11, 2015
Accepted (ET)
May 13, 2015 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001585064
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 11, 2015 | A | 27,033 | $0.00 | A | 49,152 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3,F4 | $20.88 | May 11, 2015 | A | 24,084 | A | — | May 11, 2022 | Common Stock | 24,084 | 24,084 | D |
| Stock Option (right to buy)F5 | $24.87 | holding | — | — | — | — | Dec 1, 2021 | Common Stock | 8,823 | 8,823 | D |
Explanation of responses
- F1Represents a grant of restricted stock under the Issuer's 2013 Stock Incentive Plan, which vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date.
- F2Includes restricted stock.
- F3Stock option granted pursuant to the Issuer's 2013 Stock Incentive Plan, which meets the requirements of Rule 16b-3.
- F4This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date.
- F5This stock option vests in three equal annual installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date.