SEC Form 4 · accession 0001179110-17-014587
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
Nov 20, 2017
Accepted (ET)
Nov 22, 2017 · 5:59 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 | May 31, 2017 | G | 85 | $0.00 | D | 44,874 | D | |
| Class A Ordinary SharesF1,F2 | Nov 20, 2017 | M | 527 | — | A | 45,481 | D | |
| Class A Ordinary Shares | Nov 20, 2017 | F | 248 | $142.05 | D | 45,233 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Unit ShareF4,F5 | — | Nov 20, 2017 | M | 527 | D | Nov 20, 2017 | Nov 20, 2020 | Class A Ordinary Shares | 527 | 1,581 | D |
Explanation of responses
- F1Class A Ordinary Shares acquired upon the vesting of a restricted share unit award.
- F2The total number of shares reported in Column 5 includes shares acquired under the Aon employee stock purchase plan.
- F3Class A Ordinary Shares withheld by the issuer for the payment of withholding taxes in connection with the vesting of a restricted share unit award.
- F4The restricted stock unit award converts to Class A Ordinary Shares on a 1-for-1 basis. In accordance with U.K. law, the reporting person agreed to pay the issuer the nominal value of US$0.01 per share issued to the reporting person.
- F5A restricted share unit award was granted on November 20, 2015 and vests in accordance with the terms of the Aon plc 2011 Incentive Compensation Plan as follows: 20% of the awards vest on each of the first through fifth anniversaries of the date of the grant.