SEC Form 4 · accession 0001179110-15-004888
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
Mar 12, 2015
Accepted (ET)
Mar 13, 2015 · 5:19 pm EDT
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 | Mar 12, 2015 | M | 50,000 | $22.86 | A | 1,413,343 | D | |
| Class A Ordinary SharesF2 | Mar 12, 2015 | S | 29,238 | $96.783 | D | 1,384,105 | D | |
| Class A Ordinary Shares | Mar 13, 2015 | M | 50,000 | $22.86 | A | 1,434,105 | D | |
| Class A Ordinary SharesF3 | Mar 13, 2015 | S | 20,217 | $96.811 | D | 1,413,888 | D | |
| Class A Ordinary SharesF4 | Mar 13, 2015 | S | 9,079 | $97.408 | D | 1,404,809 | 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 | Mar 12, 2015 | M | 50,000 | D | — | Apr 4, 2015 | Class A Ordinary Shares | 50,000 | 50,000 | D |
| Employee Stock Option (Right to Buy)F6,F5 | $22.86 | Mar 13, 2015 | M | 50,000 | D | — | Apr 4, 2015 | Class A Ordinary Shares | 50,000 | 0 | 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 $96.570 to $97.060, 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 $96.35 to $97.34, 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 $97.35 to $97.56, 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.