SEC Form 4 · accession 0001179110-15-004044
Aon plc · AON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory C Case
Officer — President & CEO · Director
Period of report
Feb 27, 2015
Accepted (ET)
Mar 3, 2015 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000315293
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Ordinary Shares | Feb 27, 2015 | M | 50,000 | $22.86 | A | 1,225,828 | D | |
| Class A Ordinary SharesF2 | Feb 27, 2015 | S | 29,091 | $100.34 | D | 1,196,737 | D | |
| Class A Ordinary Shares | Mar 2, 2015 | M | 50,000 | $22.86 | A | 1,246,737 | D | |
| Class A Ordinary SharesF3 | Mar 2, 2015 | S | 29,066 | $99.895 | D | 1,217,671 | D | |
| Class A Ordinary Shares | Mar 3, 2015 | M | 50,000 | $22.86 | A | 1,267,671 | D | |
| Class A Ordinary SharesF4 | Mar 3, 2015 | S | 29,097 | $99.55 | D | 1,238,574 | D | |
| Class A Ordinary Shares | holding | — | — | — | 176,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6,F5 | $22.86 | Feb 27, 2015 | M | 50,000 | D | — | Apr 4, 2015 | Class A Ordinary Shares | 50,000 | 500,000 | D |
| Employee Stock Option (Right to Buy)F6,F5 | $22.86 | Mar 2, 2015 | M | 50,000 | D | — | Apr 4, 2015 | Class A Ordinary Shares | 50,000 | 450,000 | D |
| Employee Stock Option (Right to Buy)F6,F5 | $22.86 | Mar 3, 2015 | M | 50,000 | D | — | Apr 4, 2015 | Class A Ordinary Shares | 50,000 | 400,000 | D |
Explanation of responses
- F1The Transactions reported were effected pursuant to a trading plan meeting the requirements of SEC Rule 10b5-1. The reporting person entered into the trading plan in August 2014 for the sole purpose of exercising options otherwise scheduled to expire in March and April 2015 with the sale of shares intended to be limited to only those necessary to cover exercise price and applicable taxes.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $100.275 to $100.475, inclusive. The reporting person undertakes to provide to Aon plc, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $99.790 to $100.280, inclusive. The reporting person undertakes to provide to Aon plc, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $99.420 to $99.630, inclusive. The reporting person undertakes to provide to Aon plc, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5Vesting occurred in accordance with the terms of Aon Stock Incentive Plan as follows: one-third of the options vested on each of the second through fourth anniversaries of the date of grant.
- F6Stock option granted pursuant to Aon Stock Incentive Plan.