FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/04/2004 |
3. Issuer Name and Ticker or Trading Symbol
ASSURANT INC [ AIZ ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 81,731,304.92 | D | |
Common Stock | 450,062.9746 | I(2) | By Fortis (US) Funding Partners I LP |
Common Stock | 1,199,490.126 | I(2) | By Fortis (US) Funding Partners II LP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Common Stock(3) | 02/04/2004 | (4) | common stock | 150,001(5) | (4) | I | By Fortis (US) Funding Partners I LP |
Class C Common Stock(3) | 02/04/2004 | (4) | common stock | 400,001(6) | (4) | I | By Fortis (US) Funding Partners II LP |
Explanation of Responses: |
1. Fortis Insurance N.V. has an obligation to acquire additional shares of Common Stock at the consummation of the initial public offering of Assurant, Inc. (the "Assurant IPO") as described in Assurant's Amendment No. 3 to its Registration Statement on Form S-1, Registration No. 333-109984, filed with the Commission on February 3, 2004 (the "Assurant Registration Statement"). The commitment to purchase such shares is at the price paid by investors purchasing shares in the Assurant IPO. |
2. These shares of common stock will be directly owned upon the consummation of the Assurant IPO as described in the Assurant Registration Statement. |
3. The Class B and Class C Common Stock, received in connection with the merger of Fortis, Inc. with and into Assurant, Inc., will (i) be directly owned and (ii) automatically convert by its terms into Common Stock upon the consummation of the Assurant IPO based on the public offering price of the Common Stock as described in the Assurant Registration Statement. |
4. N/A |
5. $150,001,000 aggregate liquidation preference |
6. $400,001,000 aggregate liquidation preference |
Kristof Macours, Senior Legal Advisor, on behalf of Fortis Insurance N.V. | 02/04/2004 | |
** 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 5 (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 Number. |