- Statement of Changes in Beneficial Ownership (4)
November 17 2009 - 7:19PM
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
*
O'MALLEY EDWARD
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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
__
X
__ Officer (give title below)
__
X
__ Other (specify below)
SVP NFP
/
PRES. NFP CORP. CLIENT GROUP
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(Last)
(First)
(Middle)
NATIONAL FINANCIAL PARTNERS CORP., 1250 CAPITAL OF TEXAS HWY S.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2009
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(Street)
AUSTIN, TX 78746
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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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11/16/2009
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M
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408
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A
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$0
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5099
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D
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Common Stock
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11/16/2009
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M
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5
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A
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$0
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5104
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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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11/16/2009
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F
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147
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(1)
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(2)
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Common Stock
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147
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$0
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408
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D
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Restricted Stock Units
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$0
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11/16/2009
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M
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408
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(1)
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(2)
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Common Stock
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408
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$0
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0
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D
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Restricted Stock Units
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$0
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11/16/2009
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F
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3
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(1)
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(2)
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Common Stock
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3
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(3)
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5
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D
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Restricted Stock Units
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$0
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11/16/2009
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M
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5
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(1)
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(2)
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Common Stock
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5
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(3)
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0
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D
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Explanation of Responses:
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(
1)
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Restricted Stock Units ("RSUs") vest in three equal annual installments commencing November 16, 2007. Once vested, RSUs are immediately payable in shares of Issuer's Common Stock.
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(
2)
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N/A
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(
3)
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Price of derivative security is the "Fair Market Value," i.e., the average of the high and the low price of the Issuer's Common Stock Price on each dividend issuance date, i.e., $43.66, $47.30, $47.33 and $56.05 on January 8, 2007, April 9, 2007, July 6, 2007 and October 9, 2007, respectively.
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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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O'MALLEY EDWARD
NATIONAL FINANCIAL PARTNERS CORP.
1250 CAPITAL OF TEXAS HWY S.
AUSTIN, TX 78746
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SVP NFP
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PRES. NFP CORP. CLIENT GROUP
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Signatures
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/s/ Malika S. Hinkson, Attorney-in-Fact for Edward O'Malley
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11/17/2009
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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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