SEC Form 4 · accession 0000040729-15-000047
Ally Financial Inc. · ALLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Carpenter
Officer — Chief Executive Officer · Director
Period of report
Jan 16, 2015
Accepted (ET)
Jan 21, 2015 · 4:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000040729
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 16, 2015 | M | 15,490 | $0.00 | A | 15,490 | D | |
| Common StockF2 | Jan 16, 2015 | F | 721 | $23.08 | D | 14,769 | D | |
| Common StockF2 | Jan 16, 2015 | D | 14,769 | $23.08 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock Units (DSU)F3 | — | Jan 16, 2015 | A | 15,831 | A | — | — | Common Stock | 15,831 | 745,091 | D |
| Deferred Stock Units (DSU)F3 | — | Jan 16, 2015 | M | 15,490 | D | — | — | Common Stock | 15,490 | 729,601 | D |
Explanation of responses
- F1The common stock reported includes (i) shares issued upon the settlement of a portion of DSUs awarded in prior periods, plus (ii) shares issued as a result of the immediate settlement of the portion of DSUs granted, to pay applicable taxes.
- F2Represents the per share fair market value of the Company's common stock as of January 7, 2015.
- F3Each Deferred Stock Unit (DSU) represents a vested right to receive the value of one share of the Company's common stock in cash equal to the fair market value of a share of the Company's common stock. A portion of all DSUs granted are immediately settled to pay applicable taxes. DSUs do not have an expiration or exercise date or carry a conversion price. May reflect rounding of fractional shares.