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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Frank Thomas AJ ONE PICKWICK PLAZA GREENWICH, CT 06830 |
Chief Information Officer |
/s/ Raymond Bussiere as authorized signatory for Thomas AJ Frank | 04/06/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This represents a grant of restricted stock units under the amended 2007 Stock Incentive Plan, pending stockholder approval, that will vest 10% on 5/9/2018 and 15% on each of the first six anniversaries of 5/9/2018. |
(2) | This amount includes (a) Class A common stock attributable to vested restricted stock units that were awarded under the 2007 Stock Incentive Plan ("Plan"), (b) unvested restricted stock units that were awarded under the Plan, and (c) 15,075 restricted stock units that will be issued under the amended 2007 Stock Incentive Plan ("Amended Plan") subject to shareholder approval of the Amended Plan. |
Remarks: The original Form 4 incorrectly reported the restricted stock units of 15,075, to be issued under the Amended Plan, subject to shareholder approval of the Amended Plan, as restricted stock. |