SEC Form 4 · accession 0001179110-17-007853
Aon plc · AON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Caroline Grace
Officer — CEO, Global Retirement & Inves
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 4:52 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 SharesF1 | May 19, 2017 | M | 1,296 | — | A | 45,143 | D | |
| Class A Ordinary Shares | May 19, 2017 | F | 593 | $127.28 | D | 44,550 | D | |
| Class A Ordinary SharesF1 | May 19, 2017 | M | 755 | — | A | 45,305 | D | |
| Class A Ordinary Shares | May 19, 2017 | F | 346 | $127.28 | D | 44,959 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share Unit (Right to Receive)F3,F4 | — | May 19, 2017 | M | 1,296 | D | — | May 21, 2017 | Class A Ordinary Shares | 1,296 | 0 | D |
| Restricted Share Units (Right to Receive)F3,F5 | — | May 19, 2017 | M | 755 | D | — | May 21, 2018 | Class A Ordinary Shares | 755 | 755 | D |
Explanation of responses
- F1Class A Ordinary Shares acquired upon the vesting of a restricted share unit award.
- F2Class A Ordinary Shares withheld by the issuer for the payment of taxes in connection with the vesting of a restricted share unit.
- F3The restricted share unit award converts to Class A Ordinary Shares on a 1-for-1 basis. In accordance with UK law, the reporting person agreed to pay the issuer the nominal value of US$0.01 per share issued to the reporting person.
- F4A restricted share unit award was granted on February 21, 2012 and vests in accordance with the terms of the Aon Stock Incentive Plan as follows: 20% of the award vests on each of the first through fifth anniversaries of the date of the grant.
- F5A restricted share unit award was granted on February 21, 2013 and vests in accordance with the terms of the Aon Stock Incentive Plan as follows: 20% of the award vests on each of the first through fifth anniversaries of the date of the grant.