Statement of Changes in Beneficial Ownership (4)
February 04 2021 - 4:33PM
Edgar (US Regulatory)
FORM 4
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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
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 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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WILSON THOMAS J |
2. Issuer Name and Ticker or Trading Symbol
ALLSTATE CORP
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ALL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, President & CEO |
(Last)
(First)
(Middle)
C/O THE ALLSTATE CORPORATION, 2775 SANDERS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/18/2020 |
(Street)
NORTHBROOK, IL 60062-6127
(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 | 12/18/2020 | | G |
V
| 95732 (1) | D | $0 | 6679.665 (2)(3)(4) | D | |
Common Stock | | | | | | | | 0 (2) | I | By 2018 GRAT |
Common Stock | | | | | | | | 404299 (3) | I | By 2020 GRAT |
Common Stock | | | | | | | | 257535 | I | Remainder GRAT |
Common Stock | | | | | | | | 161708 | I | By TJW Options LLC 2012 Series |
Common Stock | | | | | | | | 6837 (5) | I | By 401(k) Plan |
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) | 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 |
Employee Stock Option (Right to Buy) | $78.35 | | | | | | | 2/9/2020 | 2/9/2027 | Common Stock | 82817 (6) | | 82817 | I | By TJW Options LLC 2017 Series Last Third |
Employee Stock Option (Right to Buy) | $92.80 | | | | | | | (7) | 2/22/2028 | Common Stock | 75802 (8) | | 75802 | D | |
Employee Stock Option (Right to Buy) | $92.80 | | | | | | | (7) | 2/22/2028 | Common Stock | 75802 (8) | | 75802 | I | By TJW Options LLC 2018 Series Middle Third |
Employee Stock Option (Right to Buy) | $92.46 | | | | | | | (9) | 2/8/2029 | Common Stock | 179831 (10) | | 179831 | D | |
Employee Stock Option (Right to Buy) | $92.46 | | | | | | | (9) | 2/8/2029 | Common Stock | 89915 (10) | | 89915 | I | By TJW Options LLC 2019 Series First Third |
Explanation of Responses: |
(1) | Gift of shares to charitable family foundation. |
(2) | Reflects transfer of 174,400 shares formerly held by the Thomas J. Wilson 2018 GRAT Trust to direct ownership on September 18, 2020. |
(3) | Reflects reporting person's contribution of 404,299 shares on September 18, 2020, to the Thomas J. Wilson 2020 GRAT Trust. |
(4) | Balance also reflects 58.365 shares acquired during the period of April 4, 2020, to January 6, 2021, through the Shareowner Service Plus Plan, which reinvests dividends paid on The Allstate Corporation common shares. |
(5) | Reflects acquisition of 110 shares of The Allstate Corporation common stock since May 8, 2020, under the Allstate 401(k) Savings Plan, pursuant to the most recent plan statement, dated January 25, 2021. |
(6) | Reflects transfer of 82,817 vested employee options to TJW Options LLC 2017 Series Last Third on September 22, 2020, formerly held directly by the reporting person. |
(7) | Stock option award granted on February 22, 2018, for 227,406 shares of common stock vesting in three equal increments. The remaining increment will vest on February 22, 2021. |
(8) | Reflects transfer of 75,802 vested employee options to TJW Options LLC 2018 Series Middle Third on September 22, 2020, formerly held directly by the reporting person. 75,802 unvested employee options remain directly held. |
(9) | Stock option award granted on February 8, 2019, for 269,746 shares of common stock vesting in three equal increments. The remaining increments will vest on February 8, 2021, and February 8, 2022. |
(10) | Reflects transfer of 89,915 vested employee options to TJW Options LLC 2019 Series First Third on September 22, 2020, formerly held directly by the reporting person. 179,831 unvested employee options remain directly held. |
Remarks: Table II of this Form 4 is being provided to disclose updated information with respect to vested employee options that are now held indirectly instead of directly. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WILSON THOMAS J C/O THE ALLSTATE CORPORATION 2775 SANDERS ROAD NORTHBROOK, IL 60062-6127 | X |
| Chairman, President & CEO |
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Signatures
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/s/ Thomas J. Wilson | | 2/4/2021 |
**Signature of Reporting Person | Date |
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