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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 | ||||||||
Restricted Stock Units | (1) | 03/02/2018 | M | 3,631 (5) | (6) | (6) | Common Stock | 3,631 (5) | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 03/02/2018 | M | 6,070 (7) | (8) | (8) | Common Stock | 6,070 (7) | $ 0 | 6,070 | D | ||||
Restricted Stock Units | (1) | 03/02/2018 | M | 4,447 (9) | (10) | (10) | Common Stock | 4,447 (9) | $ 0 | 8,894 | D | ||||
Employee Stock Option (Right to Buy) | $ 45.5 | 03/02/2018 | A | 29,664 | (11) | 03/01/2028 | Common Stock | 29,664 | $ 0 | 29,664 | D | ||||
Restricted Stock Units | (1) | 03/02/2018 | A | 9,891 | (12) | (12) | Common Stock | 9,891 | $ 0 | 9,891 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goulart Steven J 200 PARK AVENUE NEW YORK, NY 10166 |
EVP & Chief Investment Officer |
Mark A. Schuman, authorized signer | 03/06/2018 | |
**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) | Each Restricted Stock Unit is the contingent right to receive one share of MetLife, Inc. common stock. |
(2) | Shares withheld to satisfy the Reporting Person's tax withholding obligation due on the Restricted Share Unit payout. |
(3) | Shares acquired from the payout of 2015-2017 Performance Share Award pursuant to the MetLife, Inc. 2015 Stock and Incentive Compensation Plan. |
(4) | Shares withheld to satisfy the Reporting Person's tax withholding obligation due on the Performance Share payout. |
(5) | Includes 388 Restricted Stock Units previously added to the reporting person's award through an adjustment to maintain the intrinsic value of the Restricted Stock Units in light of the distribution by MetLife, Inc., to its shareholders of Brighthouse Financial, Inc. common stock. The reporting person did not receive shares of Brighthouse Financial, Inc. common stock on account of the Restricted Stock Units. |
(6) | The Restricted Stock Units vest in three installments on February 24, 2016, 2017 and 2018. This installment became payable following the certification on March 2, 2018 that MetLife, Inc. met specified financial goals. |
(7) | Includes 648 Restricted Stock Units previously added to the reporting person's award through an adjustment to maintain the intrinsic value of the Restricted Stock Units in light of the distribution by MetLife, Inc., to its shareholders of Brighthouse Financial, Inc. common stock. The reporting person did not receive shares of Brighthouse Financial, Inc. common stock on account of the Restricted Stock Units. |
(8) | The Restricted Stock Units vest in three installments on March 1, 2017, 2018 and 2019. The requisite certification that MetLife, Inc. met specified financial goals took place earlier. |
(9) | Includes 474 Restricted Stock Units previously added to the reporting person's award through an adjustment to maintain the intrinsic value of the Restricted Stock Units in light of the distribution by MetLife, Inc., to its shareholders of Brighthouse Financial, Inc. common stock. The reporting person did not receive shares of Brighthouse Financial, Inc. common stock on account of the Restricted Stock Units. |
(10) | The Restricted Stock Units vest in three installments on March 1, 2018, 2019 and 2020. The requisite certification that MetLife, Inc. met specified financial goals took place earlier. |
(11) | The options become exercisable in three installments on March 2, 2019, 2020 and 2021. |
(12) | The Restricted Stock Units vest in three installments on March 1, 2019, 2020 and 2021. |