SEC Form 4 · accession 0000040729-16-000788
Ally Financial Inc. · ALLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Jonathan Brown
Officer — Chief Executive Officer · Director
Period of report
Nov 4, 2016
Accepted (ET)
Nov 7, 2016 · 3:29 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 | Nov 4, 2016 | M | 2,363 | $0.00 | A | 370,607 | D | |
| Common StockF2 | Nov 4, 2016 | D | 2,363 | $18.81 | D | 368,244 | 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 | — | Nov 4, 2016 | M | 2,363 | D | — | — | Common Stock | 2,363 | 22,390 | D |
Explanation of responses
- F1The common stock reported includes shares issued upon the settlement of a portion of DSUs awarded in prior periods.
- F2Represents the per share fair market value of the Company's common stock as of October 26, 2016.
- 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. DSUs do not have an expiration or exercise date or carry a conversion price. May reflect rounding of fractional shares.