SEC Form 4 · accession 0000874977-15-000027
State Auto Financial CORP · STFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Yano
Officer — Senior Vice President
Period of report
Mar 5, 2015
Accepted (ET)
Mar 9, 2015 · 4:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000874977
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common shares without par valueF1 | Mar 5, 2015 | A | 1,602 | $0.00 | A | 14,333 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) NQF3,F2 | $22.72 | Mar 5, 2015 | A | 6,765 | A | Mar 5, 2016 | Mar 4, 2025 | Common Shares | 6,765 | 6,765 | D |
Explanation of responses
- F1Includes the following acquisitions: A Restricted Stock Grant of 1,602 shares was issued on 3/5/15 which has a 3 year cliff vest based on service only; Includes indirect holdings by spouse of 2,318.430 shares which includes 42.060 shares acquired as dividend reinvestment. The reporting person disclaims beneficial ownership of shares held by spouse. Also includes the following acquistitions: 31.445 shares acquired in March 2014, 30.193 shares acquired in June 2014, 34.977 shares acquired in Sept 2014 and 31.649 shares acquired in Dec 2014 as dividend reinvestment; 393..692 shares acquired in June 2014 and 348.279 shares aquired in Dec 2014 under the STFC Employee Stock Purchase Plan; 3.216 shares acquired in March 2014, 3.422 shares acquired in Sept 2014 and 3.228 shares acquired in Dec 2014 through the State Auto Financial 401(k) plan; 15.174 shares acquired in Sept 2014, 8.327 shares acquired in Dec 2014 and 7.739 shares acquired in January 2015 as Restricted dividends.
- F2The options vest in three equal installments beginning on March 5, 2016.
- F3Field should be left blank, but due to a software defect, requires input.