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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Edelman Financial Grp. Inc. (The) (MM) | NASDAQ:EF | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 8.84 | 0 | 00:00:00 |
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
|
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Unger John Thomas |
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) Sr. VP and General Counsel |
600 TRAVIS, SUITE 3100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
HOUSTON, TX 77002 |
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 | 9/20/2012 | J (6) | 44787 | D | $8.85 | 0 | 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 Unit (3) | $8.85 (1) (2) | 9/20/2012 | D (2) | 17965 | (2) | (2) | Common Stock | 17965 | (3) | 0 | D | ||||
Restricted Stock Units (4) | $8.85 (1) (5) | 9/20/2012 | D (5) | 13969 | (5) | (5) | Common Stock | 13969 | (4) | 0 | D | ||||
Stock Option (Right to But) | $16.81 | 9/20/2012 | D (7) | 10000 | 7/1/2005 | 7/1/2015 | Common Stock | 10000 | $0 | 0 | D |
Explanation of Responses: | |
( 1) | Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. |
( 2) | The restricted stock units, which provided or vesting 25% on the date of grant, 50% on March 15, 2013, 75% on March 15, 2014, and 100% on March 15, 2015, were canceled in the merger in exchnage for a cash payment of $8.85 per share. |
( 3) | The restricted stock units were issued pursuant to the Issuer's 2011 Executive and Key Manager Restricted Stock Unit Sub-Plan |
( 4) | The restricted stock units were issued pursuant to the Issuer's 2010 Executive and Key Manager Restricted Stock Unit Sub-Plan |
( 5) | The restricted stock units, which provided or vesting 25% on the date of grant, 50% on March 15, 2013, 75% on March 15, 2013, and 100% on March 15, 2014, were canceled in the merger in exchnage for a cash payment of $8.85 per share. |
( 6) | Disposed of pursuant to merger agreement among the Issuer, Summer Holdings II, Inc., and Summer Merger Sub, Inc. in exchange for $8.85 in cash per share. |
( 7) | Cancelled pursuant to merger agreement among the Issuer, Summer Holdings II, Inc., and Summer Merger Sub, Inc. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Unger John Thomas
600 TRAVIS, SUITE 3100 HOUSTON, TX 77002 |
|
|
Sr. VP and General Counsel |
|
Signatures
|
||
John T. Unger | 9/20/2012 | |
** 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. |
1 Year Edelman Financial Grp. Inc. (The) (MM) Chart |
1 Month Edelman Financial Grp. Inc. (The) (MM) Chart |
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