SEC Form 4 · accession 0000775368-19-000003
ALLEGHANY CORP /DE · Y
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Weston M Hicks
Officer — President and CEO · Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 8:40 am 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 Stock | holding | — | — | — | 46,777 | D | ||
| Common Stock | holding | — | — | — | 9,460 | I | Held by trust of which reporting person has voting and investment control | |
| Common Stock | holding | — | — | — | 9,459 | I | Held by trust of which reporting person has voting and investment control |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1 | — | Dec 31, 2018 | A | 61 | A | — | — | Common Stock | 61 | 1,054 | D |
| Phantom StockF1 | — | Jan 2, 2019 | I | 258 | D | — | — | Common Stock | 258 | 796 | D |
Explanation of responses
- F1Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.
- F2The Reporting Person transferred the value of 257.634 phantom stock units held under a multi-fund compensation plan into an account linked to the registrant's book value per share.