Initial Statement of Beneficial Ownership (3)
December 28 2012 - 7:48AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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HUTTER HEIDI
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2013
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3. Issuer Name
and
Ticker or Trading Symbol
ASPEN INSURANCE HOLDINGS LTD [AHL]
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(Last)
(First)
(Middle)
ASPEN INSURANCE HOLDINGS LIMITED, 141 FRONT STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
HAMILTON, D0 HM19
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Ordinary Shares
(1)
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4348
(2)
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D
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Ordinary Shares
(1)
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17382
(3)
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I
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Held as CEO of Black Diamond LLC
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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2003 Options
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(4)
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8/20/2013
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Ordinary Shares
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81490
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$16.20
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D
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2006 Options
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5/25/2009
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5/25/2016
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Ordinary Shares
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4435
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$21.96
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D
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Explanation of Responses:
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(
1)
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As of June 29, 2012, the Issuer ceased to qualify as a foreign private issuer under Rule 3b-4(c) of the Securities Exchange Act.
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(
2)
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This includes 708 Restricted Share Units granted on February 8, 2012, of which 10/12th are issuable by December 31, 2012 and the remaining 2/12th are issuable on the one year anniversary of the grant date subject to the Reporting Person's continued service.
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(
3)
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This includes 2,833 Restricted Share Units granted on February 8, 2012, of which 10/12th are issuable by December 31, 2012 and the remaining 2/12th are issuable on the one year anniversary of the grant date subject to the Reporting Person's continued service. With respect to Ms. Hutter, 80% of the Restricted Share Units granted are issued to The Black Diamond Group LLC.
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(
4)
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For the 2003 options, 65% of the grant was subject to time vesting with 20% vesting and becoming exercisable on grant date and each of December 31, 2003, 2004, 2005 and 2006. The remaining 35% of the grant was subject to performance-based vesting (based on annual and two-year ROE tests) and cliff-vested on December 31, 2009. All options were exercisable by December 31, 2009.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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HUTTER HEIDI
ASPEN INSURANCE HOLDINGS LIMITED
141 FRONT STREET
HAMILTON, D0 HM19
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X
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Signatures
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/s/ Patricia Roufca
as Attorney-in-fact for Heidi Hutter
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12/28/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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