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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DEEKS TERENCE N C/O THE NAVIGATORS GROUP INC 400 ATLANTIC STREET, 8TH FLOOR STAMFORD, CT 06901 |
 X |  X |  |  |
Emily B. Miner, attorney in fact | 02/13/2014 | |
**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) | Represents distribution in kind to the Reporting Person by the Terence N. Deeks 2010 Qualified Three Year Annuity Trust (the "2010 Trust"). |
(2) | Represents distribution in kind by the 2010 Trust to trusts for the benefit of Reporting Person's children or grandchildren. |
(3) | Represents gift by the Reporting Person to the Terence N. Deeks 2013 Qualified Three Year Annuity Trust (the "2013 Trust"). |
(4) | Represents gift to the Deeks Family Foundation (the "Foundation"). |
(5) | Represents sale by the Foundation. The Reporting Person did not derive financial benefit from the sale of the shares by the Foundation. The Reporting Person disclaims beneficial ownership of the shares held by the Foundation except to the extent of any pecuniary interest he may be deemed to hold therein. |
(6) | Represents distribution in kind to the Reporting Person by the Terence N. Deeks 2011 Qualified Three Year Annuity Trust (the "2011 Trust"). |
(7) | Represents distribution in kind to the Reporting Person by the Terence N. Deeks 2012 Qualified Three Year Annuity Trust (the "2012 Trust"). |
(8) | Includes 1,378,012 shares held by the 2011 Trust, 2012 Trust and 2013 Trust (collectively, the "Trusts"), as of December 31, 2013, of which the Reporting Person is the settler, 57,342 shares owned jointly with the Reporting Person's wife, 889,286 shares held directly and 17,000 shares held by the Foundation. The Reporting Person disclaims beneficial ownership of the shares held by the Trusts and the Foundation except to the extent of any pecuniary interest he may be deemed to hold therein. |