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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 | ||||||||
Employee Stock Option Right to Buy (NQ) | $ 13.53 | 11/30/2017 | M | 3,657 | 03/01/2013 | 02/28/2022 | Common Shares | 3,657 | $ 0 | 3,657 | D | ||||
Employee Stock Option Right to Buy (NQ) | $ 25.81 | 11/30/2017 | M | 3,499 | 03/06/2009 | 03/05/2018 | Common Shares | 3,499 | $ 0 | 3,499 | D | ||||
Employee Stock Option Right to Buy (NQ) | $ 14.49 | 11/30/2017 | M | 3,526 | 03/05/2010 | 03/04/2019 | Common Shares | 3,526 | $ 0 | 3,256 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PETRUCCI JOHN M 518 E. BROAD STREET COLUMBUS, OH 43215 |
Senior Vice President |
/s/John M. Petrucci by Melissa A. Centers, attorney in fact pursuant to POA filed with Commission 11-16-15. | 12/04/2017 | |
**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) | Includes the following acquisitions: 67.001 shares acquired in September 2016, 58.876 shares acquired in December 2016, 62.179 shares acquired in March 2017, 68.290 shares acquired in June 2017 and 67.584 shares acquired in September 2017 as dividend reinvestment; 443.825 shares acquired in December 2016 and 372.317 shares acquired in June 2017 under the State Auto Financial Employee Stock Purchase Plan. |