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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 | ||||||||
Common Stock Option (right to buy) | $ 70.24 | 05/04/2018 | M | 4,800 | (4) | 02/27/2025 | Common Stock | 4,800 | $ 0 | 0 | D | ||||
Common Stock Option (right to buy) | $ 82.74 | 05/04/2018 | M | 4,723 | (5) | 02/23/2026 | Common Stock | 4,723 | $ 0 | 4,724 | D | ||||
Common Stock Option (right to buy) | $ 91.19 | 05/04/2018 | M | 5,710 | (6) | 02/24/2027 | Common Stock | 5,710 | $ 0 | 11,420 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Welzenbach Mark Joseph C/O THE HANOVER INSURANCE GROUP, INC. 440 LINCOLN STREET WORCESTER, MA 01653 |
Executive Vice President |
/s/ Matthew R. Frascella pursuant to Confirming Statement | 05/08/2018 | |
**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 price reported in Column 4 is a weighted average price. These shares were sold in multiple prices ranging from $115.32 to $116.15, inclusive. The Reporting Person undertakes to provide The Hanover Insurance Group, Inc. ("THG"), any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple prices ranging from $115.36 to $116.12, inclusive. The Reporting Person undertakes to provide THG, any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple prices ranging from $115.32 to $116.14, inclusive. The Reporting Person undertakes to provide THG, any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
(4) | The option, representing the right to purchase a total of 14,400 shares, vested 1/3 on each of 2/27/16, 2/27/17 and 2/27/18. |
(5) | The option, representing the right to purchase a total of 14,170 shares, vested 1/3 on each of 2/23/17 and 2/23/18, and the remaining 1/3 will vest on 2/23/19. |
(6) | The option, representing the right to purchase a total of 17,130 shares, vested 1/3 on 2/24/18, and 1/3 will vest on each of 2/24/19 and 2/24/20. |