Initial Statement of Beneficial Ownership (3)
April 27 2017 - 4:53PM
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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Dawe Grahame
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/26/2017
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3. Issuer Name
and
Ticker or Trading Symbol
ASPEN INSURANCE HOLDINGS LTD [AHL]
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(Last)
(First)
(Middle)
141 FRONT STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Accounting Officer /
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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)
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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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5181
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D
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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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Restricted Share Units (2017 Grant)
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(2)
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(2)
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Ordinary Shares
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1556.0
(2)
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(3)
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D
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Restricted Share Units (2016 Grant)
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(4)
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(4)
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Ordinary Shares
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986.0
(4)
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(3)
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D
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Restricted Share Units (2015 Grant)
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(5)
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(5)
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Ordinary Shares
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505.0
(5)
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(3)
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D
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Phantom Shares (2015 Grant)
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(6)
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(6)
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Ordinary Shares
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655.0
(6)
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(3)
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D
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Phantom Shares (2016 Grant)
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(7)
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(7)
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Ordinary Shares
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178.0
(7)
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(3)
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D
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Explanation of Responses:
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(1)
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This form is being filed following the Reporting Person's promotion to the position of Chief Accounting Officer effective April 26, 2017.
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(2)
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Represents 2017 Restricted Share Units granted on February 10, 2017 under our 2013 Share Incentive Plan. One-third of the 2017 Restricted Share Units vests annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service. Upon vesting of the 2017 Restricted Share Units, the Reporting Person shall be entitled to recieved a number or Ordinary Shares equal to the number of Restricted Share Units then vesting.
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(3)
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Each Restricted Share Unit represents the right to recieve one share of the Issuer's Ordinary Shares.
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(4)
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Represents 2016 Restricted Share Units granted on February 8, 2016 under our 2013 Share Incentive Plan. One-third of the 2016 Restricted Share Units vests annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service. Upon vesting of the 2016 Restricted Share Units, the Reporting Person shall be entitled to recieved a number or Ordinary Shares equal to the number of Restricted Share Units then vesting.
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(5)
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Represents 2015 Restricted Share Units granted on March 5, 2015 under our 2013 Share Incentive Plan. One-third of the 2015 Restricted Share Units vests annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service. Upon vesting of the 2015 Restricted Share Units, the Reporting Person shall be entitled to recieved a number or Ordinary Shares equal to the number of Restricted Share Units then vesting.
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(6)
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Represents 2015 Phantom Shares eligible for vesting following the achievement of certain financial targets by the Issuer. One-third of the 2015 Phantom Share award is tested annually over a three-year period. Subject to continued employment, all vested 2015 Phantom Shares will be settled in cash upon the filing of the annual report on Form 10-K for the year ended December 31, 2017.
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(7)
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Represents 2016 Phantom Shares eligible for vesting following the achievement of certain financial targets by the Issuer. One-third of the 2016 Phantom Share award is tested annually over a three-year period. Subject to continued employment, all vested 2016 Phantom Shares will be settled in cash upon the filing of the annual report on Form 10-K for the year ended December 31, 2018.
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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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Dawe Grahame
141 FRONT STREET
HAMILTON, D0 HM19
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Chief Accounting Officer
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Signatures
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/s/Silvia Martinez as Attorney-in-fact for Grahame Dawe
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4/27/2017
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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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