Statement of Changes in Beneficial Ownership (4)
September 04 2018 - 6:53PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
FREDERICO DOMINIC
|
2. Issuer Name
and
Ticker or Trading Symbol
ASSURED GUARANTY LTD
[
AGO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President/CEO/Deputy Chairman
|
(Last)
(First)
(Middle)
30 WOODBOURNE AVENUE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/30/2018
|
(Street)
HAMILTON, D0 HM08
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Shares
|
6/26/2018
|
|
G
|
V
|
5560
|
D
|
$0.00
|
1180680.0034
|
D
|
|
Common Shares
|
6/26/2018
|
|
G
|
V
|
5560
|
D
|
$0.00
|
1175120.0034
|
D
|
|
Common Shares
|
6/26/2018
|
|
G
|
V
|
700
|
D
|
$0.00
|
1174420.0034
|
D
|
|
Common Shares
|
6/26/2018
|
|
G
|
V
|
560
|
D
|
$0.00
|
1173860.0034
|
D
|
|
Common Shares
|
6/27/2018
|
|
G
|
V
|
280
|
D
|
$0.00
|
1173580.0034
|
D
|
|
Common Shares
|
6/27/2018
|
|
G
|
V
|
2100
|
D
|
$0.00
|
1171480.0034
|
D
|
|
Common Shares
|
8/30/2018
|
|
M
|
|
57829
|
A
|
$7.44
|
1229957.0034
(1)
|
D
|
|
Common Shares
|
8/30/2018
|
|
S
|
|
57829
|
D
|
$41.08
(2)
|
1172128.0034
|
D
|
|
Common Shares
|
8/31/2018
|
|
M
|
|
42171
|
A
|
$7.44
|
1214299.0034
|
D
|
|
Common Shares
|
8/31/2018
|
|
M
|
|
76123
(3)
|
A
|
$17.44
|
1290422.0034
|
D
|
|
Common Shares
|
8/31/2018
|
|
S
|
|
118294
|
D
|
$40.73
(4)
|
1172128.0034
|
D
|
|
Common Shares
|
9/4/2018
|
|
M
|
|
35932
(3)
|
A
|
$17.44
|
1208060.0034
|
D
|
|
Common Shares
|
9/4/2018
|
|
S
|
|
35932
|
D
|
$40.70
(5)
|
1172128.0034
|
D
|
|
Common Shares
|
|
|
|
|
|
|
|
9400
|
I
|
By Wife
|
Common Shares
|
|
|
|
|
|
|
|
200
|
I
|
By Daughter
|
Common Shares
|
|
|
|
|
|
|
|
345000
|
I
|
By Family Limited Partnersip
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Options to Acquire Common Shares
|
$7.44
|
8/30/2018
|
|
M
|
|
|
57829
|
(6)
|
2/5/2019
|
Common Shares
|
57829
|
$0.00
|
42171
(7)
|
D
|
|
Options to Acquire Common Shares
|
$7.44
|
8/31/2018
|
|
M
|
|
|
42171
|
(6)
|
2/5/2019
|
Common Shares
|
42171
|
$0.00
|
0
(7)
|
D
|
|
Options to Acquire Common Shares
|
$17.44
|
8/31/2018
|
|
M
|
|
|
76123
(3)
|
2/9/2015
|
2/9/2019
|
Common Shares
|
76123
|
$0.00
|
35932
(7)
|
D
|
|
Options to Acquire Common Shares
|
$17.44
|
9/4/2018
|
|
M
|
|
|
35932
(3)
|
2/9/2015
|
2/9/2019
|
Common Shares
|
35932
|
$0.00
|
0
(7)
|
D
|
|
Explanation of Responses:
|
(1)
|
Total includes 648 shares purchased on 06/30/2018 pursuant to the Assured Guaranty Ltd. Employee Stock Purchase Plan which meets the requirements of Rule 16b-3.
|
(2)
|
The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $40.84 and $41.33 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
|
(3)
|
Reflects the amount of options that vested in accordance with the performance measures described in the Form 4 reporting the grant.
|
(4)
|
The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $40.00 and $41.00 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
|
(5)
|
The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $40.50 and $41.07 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
|
(6)
|
Options vested as follows: 1/3 on 02/05/2010, 1/3 on 02/05/2011 and 1/3 on 02/05/2012.
|
(7)
|
All options of this tranche have been exercised. The total number of options from other tranches with different exercise prices, vesting terms and expiration dates is 100,000 (after taking into account the options exercised as reported on this Form 4). The total number of performance share units from tranches with different performance measures, performance periods and vesting dates is 254,472.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
FREDERICO DOMINIC
30 WOODBOURNE AVENUE
HAMILTON, D0 HM08
|
X
|
|
President/CEO/Deputy Chairman
|
|
Signatures
|
/s/ Ling Chow, Attorney-in-fact
|
|
9/4/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Assured Guaranty Municipal (NYSE:AGO)
Historical Stock Chart
From Apr 2024 to May 2024
Assured Guaranty Municipal (NYSE:AGO)
Historical Stock Chart
From May 2023 to May 2024