SEC Form 4 · accession 0001214659-17-007522
Jefferies Financial Group Inc. · JEF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Handler
Officer — CEO · Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 4:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000096223
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F6 | Dec 27, 2017 | A | 34,803 | $26.43 | A | 13,847,263 | D | |
| Common StockF3,F6 | Jan 1, 2018 | A | 604,001 | $26.49 | A | 14,451,264 | D | |
| Common StockF4,F6 | Jan 1, 2018 | A | 604,001 | $26.49 | A | 15,055,265 | D | |
| Common StockF5,F6 | Jan 1, 2018 | A | 604,001 | $26.49 | A | 15,659,266 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Acquisition of restricted stock units as a result of dividend reinvestment in a transaction exempt under Rule 16b-3(d) under the Securities Exchange Act of 1934.
- F2Grants of Long-Term Performance-Linked Restricted Stock Units under the Leucadia National Corporation 2003 Incentive Compensation Plan, as amended, exempt pursuant to Rule 16b-3(d) under the Securities Exchange Act of 1934.
- F3Compensation year 2018 grant of Long-Term Performance-Linked Restricted Stock Units (RSUs). 100% of the grant is subject to forfeiture based upon Leucadia's future performance as measured by compounded long-term Total Shareholder Return for fiscal years 2018, 2019 and 2020. No RSUs vest until after fiscal 2020.
- F4Compensation year 2019 grant of Long-Term Performance-Linked Restricted Stock Units (RSUs). 100% of the grant is subject to forfeiture based upon Leucadia's future performance as measured by compounded long-term Total Shareholder Return for fiscal years 2019, 2020 and 2021. No RSUs vest until after fiscal 2021.
- F5Compensation year 2020 grant of Long-Term Performance-Linked Restricted Stock Units (RSUs). 100% of the grant is subject to forfeiture based upon Leucadia's future performance as measured by compounded long-term Total Shareholder Return for fiscal years 2020, 2021 and 2022. No RSUs vest until after fiscal 2022.
- F6Includes 101,765 shares indirectly held by the Reporting Person by the Trustee under the Profit Sharing Plan for the benefit of the Reporting Person; and includes 449,337 shares indirectly held through family trusts by the Reporting Person.