FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/04/2020 |
3. Issuer Name and Ticker or Trading Symbol
ALLSTATE CORP [ ALL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8,177 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | 02/12/2017 | 02/12/2023 | Common Stock | 5,511 | $45.61 | D | |
Employee Stock Option (Right to Buy) | 02/18/2017 | 02/18/2024 | Common Stock | 4,016 | $52.18 | D | |
Employee Stock Option (Right to Buy) | 02/18/2018 | 02/18/2025 | Common Stock | 6,935 | $70.71 | D | |
Employee Stock Option (Right to Buy) | 02/11/2019 | 02/11/2026 | Common Stock | 7,383 | $62.32 | D | |
Employee Stock Option (Right to Buy) | 09/06/2019 | 09/06/2026 | Common Stock | 1,550 | $69.31 | D | |
Employee Stock Option (Right to Buy) | 02/09/2020 | 02/09/2027 | Common Stock | 9,662 | $78.35 | D | |
Employee Stock Option (Right to Buy) | (1) | 02/22/2028 | Common Stock | 8,847 | $92.8 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/08/2029 | Common Stock | 10,109 | $92.46 | D | |
Employee Stock Option (Right to Buy) | (3) | 10/03/2029 | Common Stock | 1,391 | $105.65 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/19/2030 | Common Stock | 5,260 | $124.26 | D | |
Restricted Stock Units | (5) | 10/03/2022 | Common Stock | 210 | $0 | D | |
Restricted Stock Units | (6) | 02/19/2023 | Common Stock | 1,162 | $0 | D |
Explanation of Responses: |
1. Stock option award granted on February 22, 2018, for 8,847 shares of common stock vesting in three equal increments. The first and second increments vested on February 22, 2019, and February 22, 2020. The remaining increment will vest on February 22, 2021. |
2. Stock option award granted on February 8, 2019, for 10,109 shares of common stock vesting in three equal increments. The first increment vested on February 8, 2020. The remaining two increments will vest on February 8, 2021, and February 8, 2022. |
3. Stock option award granted on October 3, 2019, for 1,391 shares of common stock vesting in three equal increments, with any fractional shares to be rounded as provided for in award agreement, on October 3, 2020, October 3, 2021, and October 3, 2022. |
4. Stock option award granted on February 19, 2020, for 5,260 shares of common stock vesting in three equal increments, with any fractional shares to be rounded as provided for in award agreement, on February 19, 2021, February 19, 2022, and February 19, 2023. |
5. Award of Restricted Stock Units (RSUs) granted on October 3, 2019, under The Allstate Corporation 2019 Equity Incentive Plan. Each RSU represents the right to receive, without the payment of any consideration, one share of Allstate common stock on the conversion date, which is October 3, 2022. |
6. Award of Restricted Stock Units (RSUs) granted on February 19, 2020, under The Allstate Corporation 2019 Equity Incentive Plan. Each RSU represents the right to receive, without payment of any consideration, one share of Allstate common stock on the conversion date, with any fractional RSU to be rounded as provided for in award agreement. The RSUs will convert in three equal increments on February 19, 2021, February 19, 2022, and February 19, 2023. |
/s/ Efie Vainikos, attorney-in-fact for Mr. Prindiville | 05/14/2020 | |
** 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 5 (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 Number. |