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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jones Scott Alan 518 E. BROAD STREET COLUMBUS, OH 43215 |
Vice President |
/s/Scott Alan Jones by Melissa A. Centers, attorney in fact, pursuant to POA filed with commission 3-7-16. | 03/16/2017 | |
**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) | Includes the following acquisitions: 13.953 shares acquired in March 2016, 14.775 shares acquired in June 2016, 13.965 shares acquired in September 2016, and 12.272 shares acquired in December 2016 as Dividend Reinvestment; 208.638 shares acquired in June 2016 and 330.500 shares acquired in December 2016 under the State Auto Financial Corporation Employee Stock Purchase Plan; 34.206, 24.027 and 11.040 shares acquired as Restricted Dividend Reinvestment; Also includes indirect holdings by spouse of 51.529 shares. The reporting person disclaims beneficial ownership of shares held by spouse. |
(2) | Represents common shares surrendered by the reporting person to STFC (or disposed to the issuer thereof) for payment of tax liability incident to a prior stock award of 671 common shares which vested on March 6, 2017. Prior thereto, such disposition to the issuer had been approved by the STFC Compensation Committee pursuant to Rule 16-b-3(e) and is therefore exempt from the provisions of Section 16(b) of the Securities Exchange Act of 1934. The price per share of $27.18 represents the closing price of STFC's common shares on March 6, 2017. |