- Amended Statement of Changes in Beneficial Ownership (4/A)
July 21 2009 - 11:59AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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1. Name and Address of Reporting Person
*
POER JAMES
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2. Issuer Name
and
Ticker or Trading Symbol
NATIONAL FINANCIAL PARTNERS CORP
[
NFP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
President of NFPSI
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(Last)
(First)
(Middle)
NFP SECURITIES INC., 1250 CAPITAL OF TEXAS HWY S, STE 125
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2009
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(Street)
AUSTIN, TX 78746
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/2/2009
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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7/1/2009
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M
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1150
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A
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$0
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9222.6924
(1)
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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$0
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7/1/2009
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F
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414
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(3)
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(4)
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Common Stock
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414
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$0
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4276
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D
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Restricted Stock Units
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$0
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7/1/2009
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M
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1150
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(3)
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(4)
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Common Stock
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1150
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$0
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3126
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D
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Explanation of Responses:
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(
1)
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Includes shares acquired through participation in Issuer's Employee Stock Purchase Plan.
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(
2)
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Includes shares acquired through dividend reinvestment.
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(
3)
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Restricted Stock Units ("RSUs") vest in three equal annual installments commencing July 1, 2009. Once vested, RSUs are immediately payable in shares of Issuer's Common Stock.
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(
4)
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N/A
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Remarks:
This Form 4/A is being filed to correct on Table I the number of shares of Common Stock beneficially owned following the reported transaction.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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POER JAMES
NFP SECURITIES INC.
1250 CAPITAL OF TEXAS HWY S, STE 125
AUSTIN, TX 78746
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President of NFPSI
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Signatures
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/s/ Malika Hinkson, Attorney-in-Fact for James Poer
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7/21/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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