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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 | |
Lee Esther METLIFE, INC., 200 PARK AVENUE NEW YORK, NY 10166 |
EVP & Chief Marketing Officer |
/s/ Mark A. Schuman, authorized signer | 04/30/2019 | |
**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) | The Reporting Person earned 12,776 shares from 2016-2018 Performance Shares pursuant to the MetLife, Inc. 2015 Stock and Incentive Compensation Plan. She deferred those shares under the MetLife Leadership Deferred Compensation Plan, which allows eligible employees to defer receipt of such stock for a specific period of time. The Company withheld 323 shares to satisfy withholding for FICA and Medicare taxes. These withheld shares were inadvertently omitted from the original, timely February 28, 2019 report of the Reporting Person's deferred share acquisition. |
(2) | As a result of the inadvertent omission described in footnote (1), the amount of securities beneficially owned by the Reporting Person was incorrectly stated on the report filed on February 28, 2019. The amount in Table I box 5 of this report is the amount of ownership immediately following the transaction reported on this form. By this note, this report also corrects the amount of securities beneficially owned following each of the reported transactions in box 5 of Table I of the Reporting Person's report filed on March 5, 2019 to 28,619; 27,690; 29,468; 28,788; 30,107; and 29,602, respectively. |
Remarks: The Reporting Person's Section 16 disclosure will round Deferred Shares and Deferred Share Equivalents to the nearest whole number. |