-----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, D3muxWfgCJU5cDDUJ5VLx48hm35Fs3s+e8dpiDkERMQjIpbkIX36aSXRHyjOXQZu +NANRhB0B1tygWI0POPxKA== 0000743532-04-000014.txt : 20040127 0000743532-04-000014.hdr.sgml : 20040127 20040127142220 ACCESSION NUMBER: 0000743532-04-000014 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELLIS C LEE III CENTRAL INDEX KEY: 0001207652 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-11773 FILM NUMBER: 04545889 BUSINESS ADDRESS: STREET 1: C/O ALFA CORP STREET 2: P O BOX 11000 CITY: MONTGOMERY STATE: AL ZIP: 36191-001 BUSINESS PHONE: 3346134614 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALFA CORP CENTRAL INDEX KEY: 0000743532 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 630838024 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: P O BOX 11000 STREET 2: PO BOX 11000 CITY: MONTGOMERY STATE: AL ZIP: 36191-0001 BUSINESS PHONE: 3342883900 MAIL ADDRESS: STREET 1: P O BOX 11000 CITY: MONTGOMERY STATE: AL ZIP: 36191-0001 FORMER COMPANY: FORMER CONFORMED NAME: FEDERATED GUARANTY CORP DATE OF NAME CHANGE: 19870505 5 1 primary_doc.xml PRIMARY DOCUMENT X0201 5 2003-12-31 0 0 0 0000743532 ALFA CORP Alfa 0001207652 ELLIS C LEE III 0 1 0 0 Executive V.P. Operations Common Stock 90344 D Common Stock 3851 I by Managed Account Common Stock 2860 I by Son Common Stock 11000 I by Spouse Common Stock 1852 I by Trust Incentive Stock Option (right to buy) 6 1998-02-18 2007-02-18 Common Stock 14000 14000 D Incentive Stock Option (right to buy) 6.13 1997-04-18 2006-04-17 Common Stock 14000 14000 D Non-Qualified Stock Option (right to buy) 7.1 1999-03-23 2008-03-22 Common Stock 24000 24000 D Non-Qualified Stock Option (right to buy) 8.22 2000-04-22 2009-04-22 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 8.66 2001-04-27 2010-04-26 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 9.41 2002-03-26 2011-03-25 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 13.93 2003-03-25 2012-03-25 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 11.65 2004-02-24 2013-02-24 Common Stock 50000 50000 D The shares "by Managed Account" are held in a 401(K) Plan account maintained by Alfa Mutual Insurance Company on behalf of the undersigned employee of AMIC. The undersigned has no right to vote these shares and has no right to take from the Plan the actual shares, but rather has only the right to the cash equivalent value of such shares at the time a distibution is taken. Sons, John C. Ellis (1,660) and David M. Ellis (1,200) own 2860 shares designated to Nancy H. Ellis as custodian for John C. Ellis and David M. Ellis, to which shares Mr. Ellis disclaims beneficial ownership. Nancy H. Ellis, Mr. Ellis' wife owns 11,000 shares to which Mr. Ellis disclaims beneficial ownership. These units are part of a deferred compensation plan. All options vest one-third per year for the first three years with the first one-third vesting on the date shown in column 6 as "Date Exercisable". C. Lee Ellis, III 2004-01-27 -----END PRIVACY-ENHANCED MESSAGE-----