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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 18.76 | (2) | 02/23/2016 | Common Shares, $.0033 par value per share | 146,119 (1) | 146,119 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 19.29 | (3) | 05/06/2019 | Common Shares, $.0033 par value per share | 93,300 (1) | 93,300 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 33.91 | (4) | 05/06/2021 | Common Shares, $.0033 par value per share | 100,065 (1) | 100,065 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 37.05 | 02/29/2012 | 02/28/2022 | Common Shares, $.0033 par value per share | 161,636 (1) | 161,636 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 38.58 | (5) | 05/09/2022 | Common Shares, $.0033 par value per share | 101,000 (1) | 101,000 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 49.12 | 02/28/2013 | 02/28/2023 | Common Shares, $.0033 par value per share | 300,187 (1) | 300,187 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 53.53 | (6) | 05/09/2023 | Common Shares, $.0033 par value per share | 70,930 (1) | 70,930 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 56.12 | 02/28/2014 | 02/28/2024 | Common Shares, $.0033 par value per share | 302,555 (1) | 302,555 (1) | I (1) | By GRAT | |||||||
Share Appreciation Right | $ 57.27 | (7) | 05/13/2024 | Common Shares, $.0033 par value per share | 63,000 (1) | 63,000 (1) | I (1) | By GRAT |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
IORDANOU CONSTANTINE C/O ARCH CAPITAL GROUP LTD. WATERLOO HOUSE,100 PITTS BAY ROAD PEMBROKE, D0 HM 08 |
X | Chairman, President & CEO |
/s/ Constantine Iordanou | 06/18/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The options and stock appreciation rights were previously reported as directly beneficially owned by the reporting person but were contibuted to a grantor retained annuity trust on June 12, 2014. |
(2) | The stock option became exercisable in three equal annual installments with the first installment being exercisable on February 23, 2007 and the second and third installments being exercisable on February 23, 2008 and February 23, 2009. |
(3) | The share appreciation right became exercisable in three equal annual installments with the first installment being exercisable on May 6, 2010 and the second and third installments being exercisable on May 6, 2011 and May 6, 2012. |
(4) | The share appreciation right became exercisable in three equal annual installments with the first installment being exercisable on May 6, 2012 and the second and third installments being exercisable on May 6, 2013 and May 6, 2014. |
(5) | The share appreciation right became exercisable in three equal annual installments with the first installment being exercisable on May 9, 2013 and the second and third installments being exercisable on May 9, 2014 and May 9, 2015. |
(6) | The share appreciation right became exercisable in three equal annual installments with the first installment being exercisable on May 9, 2014 and the second and third installments being exercisable on May 9, 2015 and May 9, 2016. |
(7) | The share appreciation right became exercisable in three equal annual installments with the first installment being exercisable on May 13, 2015 and the second and third installments being exercisable on May 13, 2016 and May 13, 2017. |