SEC Form 4 · accession 0001127602-15-004270
TRAVELERS COMPANIES, INC. · TRV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Doreen Spadorcia
Officer — Vice Chairman
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 11:28 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000086312
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 24, 2014 | G | 500 | $0.00 | D | 9,721 | D | |
| Common Stock | Feb 2, 2015 | S | 2,000 | $102.94 | D | 7,721 | D | |
| Common Stock | Feb 2, 2015 | M | 12,300 | $56.81 | A | 20,021 | D | |
| Common Stock | Feb 2, 2015 | S | 12,300 | $102.94 | D | 7,721 | D | |
| Common Stock | Feb 2, 2015 | M | 4,081 | $51.09 | A | 11,802 | D | |
| Common Stock | Feb 2, 2015 | S | 4,081 | $102.94 | D | 7,721 | D | |
| Common Stock | holding | — | — | — | 298 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $56.81 | Feb 2, 2015 | M | 12,300 | D | Feb 1, 2014 | Feb 1, 2021 | Common Stock | 12,300 | 49,545 | D |
| Stock Options (Right to Buy) | $51.09 | Feb 2, 2015 | M | 4,081 | D | Feb 2, 2013 | Feb 2, 2020 | Common Stock | 4,081 | 0 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were made pursuant to a trading plan entered into in a prior quarter in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934. In prior Form 10-Qs of the Issuer, including its Form 10-Q filed on October 21, 2014 with the SEC, the Issuer previously disclosed the potential for executive sales of common stock, including through Rule 10b5-1 trading plans.