Statement of Changes in Beneficial Ownership (4)
August 27 2021 - 5:00PM
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
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3235-0287
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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
*
HEYMAN WILLIAM H |
2. Issuer Name and Ticker or Trading Symbol
TRAVELERS COMPANIES, INC.
[
TRV
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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)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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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)
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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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HEYMAN WILLIAM H THE TRAVELERS COMPANIES, INC. 385 WASHINGTON STREET ST. PAUL, MN 55102 |
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| Vice Chairman |
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Signatures
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/s/Wendy C. Skjerven, by power of attorney | | 8/27/2021 |
**Signature of Reporting Person | Date |
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