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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 44.65 | 02/26/2019 | A | 10,081 | (5) | 02/25/2029 | Common Stock | 10,081 | $ 0 | 10,081 | D | ||||
Restricted Stock Units | (6) | 02/26/2019 | A | 3,360 | (7) | (7) | Common Stock | 3,360 | $ 0 | 3,360 | D | ||||
Common Stock Equivalent Units | (8) | (8) | (8) | Common Stock | (8) | 313 (9) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'DONNELL WILLIAM C METLIFE, INC., 200 PARK AVENUE NEW YORK, NY 10166 |
EVP & Chief Accounting Officer |
Mark A. Schuman, authorized signer | 02/28/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Shares acquired from the payout of the 2016-2018 Performance Share Award following determination of the performance factor for such award. |
(2) | Shares withheld to satisfy the Reporting Person's tax withholding obligation due on the Performance Share payout. |
(3) | Between March 1, 2018 and February 27, 2019, the reporting person acquired 103 shares in the MetLife, Inc. common stock fund of the MetLife 401(k) Plan. The information in this report is based on plan information as of February 27, 2019. |
(4) | The reported holding reflects interests in a MetLife, Inc. common stock fund allocated to and indirectly held by the reporting person under the MetLife 401(k) Plan, a "Qualified Plan" under Rule 16b-3(b)(4). |
(5) | The options become exercisable in three installments on February 26, 2020, 2021 and 2022. |
(6) | Each Restricted Stock Unit is the contingent right to receive one share of MetLife, Inc. common stock. |
(7) | The Restricted Stock Units vest in three installments on March 2, 2020, March 1, 2021 and March 1, 2022. |
(8) | Each Common Stock Equivalent Unit is the economic value of one share of MetLife, Inc. common stock. Common Stock Equivalent Units were acquired pursuant to the MetLife Auxiliary Match Plan, an "Excess Benefit Plan" under Rule 16b-3(b)(2). When such Common Stock Equivalent Units are distributed, they are settled in cash. |
(9) | Between February 3, 2018 and February 27, 2019, the reporting person acquired 37 Common Stock Equivalents under the MetLife Auxiliary Match Plan. The information in this report is based on plan information as of February 27, 2019. |
Remarks: The Reporting Person's Section 16 disclosure will round shares owned in the MetLife 401(k) Plan and Deferred Share Equivalents to the nearest whole number. |