SEC Form 5 · accession 0001127602-19-005949
Arthur J. Gallagher & Co. · AJG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas K Howell
Officer — VP & Chief Financial Officer
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 3:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000354190
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 10, 2018 | G | 326 | $0.00 | A | 2,605 | I | By Spouse |
| Common Stock | Jul 10, 2018 | G | 326 | $0.00 | D | 42,577 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Notional Stock UnitsF3,F2,F4 | $0.00 | Dec 31, 2018 | I | 4,255 | A | — | — | Common Stock | 4,255 | 151,146 | D |
Explanation of responses
- F1The reporting person has no voting or invesment power over these shares and disclaims beneficial ownership.
- F2Each notional stock unit represents a right to receive one share of Gallagher common stock.
- F3In accordance with applicable SEC staff guidance, the reporting person has elected to report periodic investments throughout the year into the Gallagher stock fund under this plan (the Supplemental Savings and Thrift Plan, a nonqualified deferred compensation plan) on an aggregate basis on Form 5.
- F4Portions of these notional stock units are payable to the reporting person in shares of common stock in July of 2019, 2020, 2021, 2022, 2023, and following the reporting person's separation from service.