-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VpTcMSvW0rCbTQvZbGGB8DKlIE5Sm1JurPl+VLT+C7tjwcQSCYQweoGoJ4drKtE2 FTqcNONyryxGIZBb5oZHZw== 0000775368-02-000014.txt : 20020414 0000775368-02-000014.hdr.sgml : 20020414 ACCESSION NUMBER: 0000775368-02-000014 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020130 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLEGHANY CORP /DE CENTRAL INDEX KEY: 0000775368 STANDARD INDUSTRIAL CLASSIFICATION: TITLE INSURANCE [6361] IRS NUMBER: 510283071 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09371 FILM NUMBER: 02521832 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 3201 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2127521356 MAIL ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 3201 CITY: NEW YORK STATE: NY ZIP: 10152 FORMER COMPANY: FORMER CONFORMED NAME: ALLEGHANY FINANCIAL CORP DATE OF NAME CHANGE: 19870115 COMPANY DATA: COMPANY CONFORMED NAME: BURNS JOHN J JR CENTRAL INDEX KEY: 0001014159 DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 3201 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-752-1356 MAIL ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 3201 CITY: NEW YORK STATE: NY ZIP: 10152 5 1 edgar.txt FORM 5 - DECEMBER 31, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person Burns, Jr., John J. Alleghany Corporation 375 Park Avenue New York, NY 10152 USA 2. Issuer Name and Ticker or Trading Symbol Alleghany Corporation Y 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 31, 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President 7. Individual or Joint/Group Reporting (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |3/20/0|A(1)|7,863 |A |$204.90 | | | | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |3/20/0|D(1)|3,932 |D |$204.90 | | | | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |5/7/01|G |632 |D | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |6/19/0|A(2)|7,803 |A |$204.26 | | | | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |6/19/0|D(2)|3,901 |D |$204.26 | | | | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |6/19/0|A(3)|7,803 |A |$204.26 | | | | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |12/14/|G |500 |D | | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |12/21/|G |1,000 |D | | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |12/27/|G |100 |D | |74,150(4) |D | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | |732(4) |I |by wife | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Settlement of 7,863 performance shares for 3,931 shares of Common Stock and $805,666.80 in cash. (2) Settlement of 7,803 performance shares for 3,902 shares of Common Stock and $796,798.76 in cash. (3) Vesting of 7,803 performance shares for 7,803 shares of Common Stock. Payout is deferred until the month after the undersigned ceases to be an officer of Alleghany Corporation and will be paid one-half in shares of Common Stock and one-half in cash (based upon the fair market value of the Common Stock at the time of the payout). (4) Includes shares of Common Stock paid by Alleghany Corporation as a stock dividend in April 2001. SIGNATURE OF REPORTING PERSON /s/ John J. Burns, Jr. DATE January 30, 2002 -----END PRIVACY-ENHANCED MESSAGE-----