SEC Form 4 · accession 0000775368-19-000011
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
Mar 23, 2018
Accepted (ET)
Feb 4, 2019 · 3:41 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 | Mar 14, 2018 | G | 30 | $0.00 | D | 5,110 | D | |
| Common StockF1 | Mar 23, 2018 | G | 100 | $0.00 | D | 5,010 | D | |
| Common StockF2 | Feb 3, 2019 | M | 708 | $0.00 | A | 5,718 | D | |
| Common StockF2 | Feb 3, 2019 | D | 708 | $635.73 | D | 5,010 | 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 | — | Feb 3, 2019 | M | 708 | D | — | — | Common Stock | 708 | 0 | D |
Explanation of responses
- F1Gift of shares of the registrant's common stock to a third party for no consideration.
- F2Settlement of 708 restricted stock units for $450,217.63 in cash, of which $190,692.40 represents 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 February 3, 2019.