0001181431-14-038989.txt : 20141216 0001181431-14-038989.hdr.sgml : 20141216 20141216171848 ACCESSION NUMBER: 0001181431-14-038989 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141212 FILED AS OF DATE: 20141216 DATE AS OF CHANGE: 20141216 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Fidelity & Guaranty Life CENTRAL INDEX KEY: 0001585064 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 463489149 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 1001 FLEET STREET STREET 2: 6TH FL CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 410-895-0100 MAIL ADDRESS: STREET 1: 1001 FLEET STREET STREET 2: 6TH FL CITY: BALTIMORE STATE: MD ZIP: 21202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Boehm Rosanne CENTRAL INDEX KEY: 0001591155 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36227 FILM NUMBER: 141290410 MAIL ADDRESS: STREET 1: C/O FIDELITY & GUARANTY LIFE STREET 2: 1001 FLEET STREET, 6TH FL CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 rrd420384.xml FORM 4 - RB X0306 4 2014-12-12 0 0001585064 Fidelity & Guaranty Life FGL 0001591155 Boehm Rosanne 1001 FLEET STREET, 6TH FLOOR BALTIMORE MD 21202 0 1 0 0 SVP, Human Resources Common Stock 2014-12-12 4 F 0 593 24.66 D 8375 D Stock Option (right to buy) 24.87 2021-12-01 Common Stock 2940 2940 D Stock Option (right to buy) 38.14 2018-11-02 Common Stock 2040 D Stock Option (right to buy) 49.45 2019-12-31 Common Stock 3857 D Restricted Stock Unit Common Stock 1135 D Stock Option (right to buy) 17.00 2020-12-12 Common Stock 4545 4545 D Represents the withholding by the Issuer of restricted stock to satisfy the reporting person's tax withholding obligations upon the vesting of restricted stock, which has been approved pursuant to the requirements of Rule 16b-3. Includes restricted stock. The option vests in three equal annual installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date. The option entitles the reporting person to receive, upon exercise, a cash payment equal to the excess of the fair market value of a share of Class A Common Stock of Fidelity & Guaranty Life Holdings, Inc., a wholly owned subsidiary of the Issuer (the "F&G Subsidiary"), over the exercise price of the option. It is expected that the fair market value of a share of Class A Common Stock of the F&G Subsidiary will be derived from the value of the Common Stock of the Issuer. The option became exercisable as to 1,013 shares on November 2, 2012, 1,014 shares on November 2, 2013, and 1,013 shares on November 2, 2014. The option entitles the reporting person to receive, upon exercise, a cash payment equal to the excess of the fair market value of a share of Class B Common Stock of the F&G Subsidiary over the exercise price of the option. It is expected that the fair market value of a share of Class B Common Stock of the F&G Subsidiary will be derived from the value of the Common Stock of the Issuer. The option became exercisable as to 1,286 shares on December 31, 2013 and will become exercisable as to 1,285 shares on December 31, 2014 and 1,286 shares on December 31, 2015. Each restricted stock unit is the economic equivalent of one share of Class B Common Stock of the F&G Subsidiary. Each restricted stock unit will be settled upon vesting in cash in an amount equal to the fair market value of a share of Class B Common Stock of the F&G Subsidiary. It is expected that the fair market value of a share of Class B Common Stock of the F&G Subsidiary will be derived from the value of the Common Stock of the Issuer. 568 restricted stock units will vest on December 31, 2014 and 567 restricted stock units will vest on December 31, 2015. The option vests in three equal annual installments on December 12, 2014, 2015 and 2016, subject to continued employment through such date. /s/ Isabelle Aragon, Attorney-in-fact 2014-12-16