Statement of Changes in Beneficial Ownership (4)
August 27 2021 - 05:00PM
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 * HEYMAN WILLIAM H |
2. Issuer Name and Ticker or Trading
Symbol TRAVELERS COMPANIES, INC. [ TRV ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Vice Chairman |
|
(Last)
(First)
(Middle)
THE TRAVELERS COMPANIES, INC., 385 WASHINGTON
STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
7/9/2003
|
|
(Street)
ST. PAUL, MN 55102
(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 Stock |
8/25/2021 |
|
M |
|
5000 |
A |
$106.03 |
250260.902 |
D |
|
|
Common Stock |
8/25/2021 |
|
S |
|
3000 |
D |
$162.50 (1) |
247260.902 |
D |
|
|
Common Stock |
8/25/2021 |
|
S |
|
2000 |
D |
$163.125 (2) |
245260.902 |
D |
|
|
Common Stock |
|
|
|
|
|
|
|
1573.448 |
I |
401(k) Plan |
|
Common Stock |
|
|
|
|
|
|
|
2256 |
I |
Held By Spouse (3) |
|
Common Stock |
|
|
|
|
|
|
|
250 |
I |
In Trust For Stepson (3) |
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 |
|
Stock Option (Right to Buy) |
$106.03 |
8/25/2021 |
|
M |
|
|
5000 |
2/2/2019 |
2/2/2026 |
Common Stock |
5000 |
$0 |
0 |
D |
|
|
Deferred Compensation Phantom
Stock (4) |
(5) |
7/9/2003 |
|
A |
|
82.03 (6) |
|
(5) |
(5) |
Common Stock |
82.03 |
$36.57 |
82.03 |
D |
|
|
Deferred Compensation Phantom
Stock (4) |
(5) |
1/7/2004 |
|
A |
|
380.71 (6) |
|
(5) |
(5) |
Common Stock |
380.71 |
$39.40 |
463.54 (7) |
D |
|
|
Deferred Compensation Phantom
Stock (4) |
(5) |
7/7/2004 |
|
A |
|
98.34 (6) |
|
(5) |
(5) |
Common Stock |
98.34 |
$39.19 |
569.71 (8) |
D |
|
|
Deferred Compensation Phantom
Stock (4) |
(5) |
1/7/2005 |
|
A |
|
502.35 (6) |
|
(5) |
(5) |
Common Stock |
502.35 |
$36.98 |
1083.89 (9) |
D |
|
| Explanation of
Responses: |
| (1) |
Represents the weighted
average sales price for increments ranging from $162.25 to $162.75.
The Reporting Person undertakes to provide upon request by the
Securities and Exchange Commission Staff, the Issuer or a security
holder of the Issuer, full information regarding the number of
shares sold at each separate price. |
| (2) |
Represents the weighted
average sales price for increments ranging from $163.00 to $163.25.
The Reporting Person undertakes to provide upon request by the
Securities and Exchange Commission Staff, the Issuer or a security
holder of the Issuer, full information regarding the number of
shares sold at each separate price. |
| (3) |
The Reporting Person
disclaims beneficial ownership of these shares. |
| (4) |
This Form 4 is also being
filed to report the acquisition of Deferred Compensation Phantom
Stock units, which were inadvertently not reported at the time the
reporting person made a contribution to one of the Company's
deferred compensation plans. |
| (5) |
Pursuant to the terms of the
plan, the executive will receive distribution of his deferred
compensation account in cash following termination of his
employment with the Company. |
| (6) |
Represents the approximate
number of shares of Travelers Common Stock underlying the
hypothetical investment of deferred compensation pursuant to one of
the Company's deferred compensation plans. |
| (7) |
Includes 0.80 shares of
Travelers Common Stock underlying Deferred Compensation Phantom
Stock units acquired from July 9, 2003 to the date of the reported
transaction pursuant to the dividend reinvestment feature of the
deferred compensation plan. |
| (8) |
Includes 7.83 shares of
Travelers Common Stock underlying Deferred Compensation Phantom
Stock units acquired from January 7, 2004 to the date of the
reported transaction pursuant to the dividend reinvestment feature
of the deferred compensation plan. |
| (9) |
Includes 11.83 shares of
Travelers Common Stock underlying Deferred Compensation Phantom
Stock units acquired from July 7, 2004 to the date of the reported
transaction pursuant to the dividend reinvestment feature of the
deferred compensation plan. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
HEYMAN WILLIAM H
THE TRAVELERS COMPANIES, INC.
385 WASHINGTON STREET
ST. PAUL, MN 55102 |
|
|
Vice Chairman |
|
Signatures
|
|
/s/Wendy C. Skjerven, by power of
attorney |
|
8/27/2021 |
| **Signature of Reporting
Person |
Date |
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