SEC Form 4 · accession 0001209191-15-083279
Fidelity & Guaranty Life · FGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Christopher J Littlefield
Officer — President & CEO · Director
Period of report
Dec 1, 2015
Accepted (ET)
Dec 3, 2015 · 5:08 pm EST
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 StockF2 | Dec 1, 2015 | F | 1,140 | $25.68 | D | 48,012 | D | |
| Common StockF3,F2 | Dec 1, 2015 | A | 8,802 | $0.00 | A | 56,814 | 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)F4,F5 | $25.75 | Dec 1, 2015 | A | 118,809 | A | — | Dec 1, 2022 | Common Stock | 118,809 | 118,809 | D |
| Stock Option (right to buy)F6 | $20.88 | holding | — | — | — | — | May 11, 2022 | Common Stock | 24,084 | 24,084 | D |
| Stock Option (right to buy)F7 | $24.87 | holding | — | — | — | — | Dec 1, 2021 | Common Stock | 8,823 | 8,823 | D |
Explanation of responses
- F1Represents the withholding by the Issuer of restricted stock to satisfy the reporting person's tax withholding obligations upon the vesting of restricted stock, which has been approved pursuant to the requirements of Rule 16b-3.
- F2Includes restricted stock.
- F3Represents a grant of restricted stock under the Issuer's 2013 Stock Incentive Plan, which vests in three equal annual installments on December 1, 2016, 2017 and 2018, subject to continued employment through such date.
- F4Stock option granted pursuant to the Issuer's 2013 Stock Incentive Plan, which meets the requirements of Rule 16b-3.
- F5The option vests in three equal annual installments on December 1, 2016, 2017 and 2018, subject to continued employment through such date.
- F6This 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.
- F7This stock option vests in three equal annual installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date.