SEC Form 4 · accession 0000775368-17-000004
ALLEGHANY CORP /DE · Y
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Kent Dalrymple
Officer — SVP, General Counsel
Period of report
Jan 15, 2017
Accepted (ET)
Jan 18, 2017 · 3:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000775368
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 9, 2016 | G | 11 | $0.00 | D | 4,020 | D | |
| Common StockF1 | Dec 6, 2016 | G | 100 | $0.00 | D | 3,920 | D | |
| Common StockF2 | Jan 15, 2017 | M | 825 | $0.00 | A | 4,745 | D | |
| Common StockF2 | Jan 15, 2017 | D | 517 | $608.84 | D | 4,228 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Jan 15, 2017 | M | 825 | D | — | — | Common Stock | 825 | 0 | D |
Explanation of responses
- F1Gift of shares of the registrant's common stock to third party for no consideration.
- F2Settlement of 825 restricted stock units for shares of the registrant's common stock and $314,486.55 in cash representing withholding for tax obligations in connection with such settlement.
- F3Each restricted stock unit represents a contingent right to receive one share of of the registrant's common stock or a payment in cash in respect of such restricted stock unit in an amount equal to the fair market value of one share of the registrant's common stock on the applicable vesting date.
- F4Each restricted stock unit vested on January 15, 2017.