- Statement of Changes in Beneficial Ownership (4)
21 Mars 2012 - 11:01PM
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
Expires:
November 30, 2011
Estimated average burden
hours per response...
0.5
|
|
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(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Moore Edward P
|
2. Issuer Name
and
Ticker or Trading Symbol
EDELMAN FINANCIAL GROUP INC.
[
EF
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Vice President
|
(Last)
(First)
(Middle)
4000 LEGATO ROAD, 9TH FLOOR
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/15/2012
|
(Street)
FAIFAX, VA 22033
(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
|
3/15/2012
|
3/21/2012
|
M
|
|
4510
(3)
|
A
|
$6.93
|
99743
|
D
|
|
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
|
Restricted Stock Units
(2)
|
$
0
(2)
|
3/15/2012
|
3/21/2012
|
A
|
|
18038
|
|
(1)
|
(1)
|
Common Stock
|
18038
|
$
0
(2)
|
18038
|
D
|
|
Restrcited Stock Units
|
(2)
|
3/15/2012
|
3/21/2012
|
M
|
|
|
4510
(3)
|
3/15/2012
|
(1)
|
Common Stock
|
4510
|
$
0
(2)
|
13528
|
D
|
|
Explanation of Responses:
|
(
1)
|
Restricted Stock Units vest 25% on the date of grant, 50% on March 15, 2013, 75% on March 15, 2014, 75% on March 15, 2015.
|
(
2)
|
Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were issued pursuant to the Issuer's Long-term Incentive Plan.
|
(
3)
|
Represents vest portion of restricted stock units, which vest on date of grant.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Moore Edward P
4000 LEGATO ROAD, 9TH FLOOR
FAIFAX, VA 22033
|
|
|
Executive Vice President
|
|
Signatures
|
Edrawd P Moore, by John T. Unger, agent and attorney in fact
|
|
3/21/2012
|
**
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 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).
|
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 control number.
|
Edelman Financial Grp. Inc. (The) (MM) (NASDAQ:EF)
Graphique Historique de l'Action
De Nov 2024 à Déc 2024
Edelman Financial Grp. Inc. (The) (MM) (NASDAQ:EF)
Graphique Historique de l'Action
De Déc 2023 à Déc 2024
Real-Time news about Edelman Financial Grp. Inc. (The) (MM) (NASDAQ): 0 recent articles
Plus d'articles sur