-----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, ELaHVfRZ7gNVrYZ/RaGjUIiJjfOmEmoT5QsUFFnpT8EpJn2Vua1ByI0w+s2uwe4b NLXmIZ6aWd3ULcQLuY/HBw== 0000774624-97-000029.txt : 19970310 0000774624-97-000029.hdr.sgml : 19970310 ACCESSION NUMBER: 0000774624-97-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970307 FILED AS OF DATE: 19970307 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIED GROUP INC CENTRAL INDEX KEY: 0000774624 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 420958655 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12663 FILM NUMBER: 97553006 BUSINESS ADDRESS: STREET 1: 701 FIFTH AVE CITY: DES MOINES STATE: IA ZIP: 50309 BUSINESS PHONE: 5152804211 MAIL ADDRESS: STREET 1: 701 5TH AVENUE CITY: DES MOINES STATE: IA ZIP: 50391-2000 FORMER COMPANY: FORMER CONFORMED NAME: AID CORP DATE OF NAME CHANGE: 19870519 COMPANY DATA: COMPANY CONFORMED NAME: SULLIVAN EDWARD E CENTRAL INDEX KEY: 0001023677 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 701 5TH AVE. CITY: DES MOINES STATE: IA ZIP: 50391-2000 BUSINESS PHONE: 5152804211 4 1
- ---------------- U.S. SECURITIES AND EXCHANGED COMMISION ---------------------------- |F O R M 4| Washington, D.C. 20549 | OMB APPROVAL | - ---------------- |--------------------------| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0287| [ ] Check this box if |Expires: September 30,1998| no longer Subject Filed pursuant to Section 16(a) of the Securities Exchanged Act of 1934, |Estimated ave. burden | to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or |hours per response.....0.5| Section 30(f) of the Investment Company Act 1940 ---------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | |SULLIVAN EDWARD E |ALLIED Group, Inc. (ALGR) | | | | | Director 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS or Soc. Sec. No. |4.Statement for Month/ | X Officer Other | | | of Reporting Person | Year |---(give title below) ---(Specify below)| | 701 5TH AVE | (Voluntary) | | | | | | February 1997 | Vice President of certain | | | | | subsidiaries | |----------------------------------------| |------------------------|----------------------------------------| | (Street) | |5.If Amendment, Date of |7. Individual or Joint/Group Filing | | | ###-##-#### | Original (Month/Year) | (Check Applicable Line) | | | | | | |DES MOINES IA 50391-2000| | | X Form filed by One Reporting Person | | | | |--- | | | | | Form filed by More than One | | | | |--- Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |----------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans. |4.Security Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Own.| Beneficial | | |(Mon/Day/Yr)|(Instr.8)| (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | |---------|-------------------------------| Owned at End of|(D) | (Instr. 4) | | | | | | |(A) | | Month |or | | | | |Code| V | Amount |(D) | Price | (Instr. 3 & 4) |(I) | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | |Common Stock | 02/19/1997 | M | | 5000 | A | $19.4167| | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 02/19/1997 | M | | 375 | A | $16.1667| | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 02/19/1997 | M | | 375 | A | $16.1667| | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 02/19/1997 | M | | 187 | A | $16.1667| | | | | | |(01)| | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 02/19/1997 | D | | 187 | D | $32.3750| | | | | | |(01)| | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 02/19/1997 | S | | 4200 | D | $32.3750| 2230.7579 | D | | | | | | | | | | (02)| | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 1474 (7-96) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). PAGE: 1 OF 2
FORM 4 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible security) - ------------------------------------------------------------------------------------------------------------------------------------ |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans| saction| Derivative |Exercisable| of Underlying |Derivative| of |Own.| of | |Security |Exercise |Date | Code | Securities |and | Securities |Security |Derivative|Form|Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or |Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- | Day/| | Disposed of (D) |Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4 & 5) |(Month/Day/| | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-----------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Month |or | | | | | |---------|---------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | |Code| V | (A) | (D) |Exbl.|Date | |Shares | | |(I) | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | |Stock Opti| $19.4167|02/19| M | | | 5000|10/14|10/14|Common Sto| 5000| | 10000| D | | |on | | 1997| | | | | 1996| 2003|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (03)| | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $16.1667|02/19| M | | | 375|03/31|03/31|Common Sto| 375| | 0| D | | |on | | 1997| | | | | 1996| 2004|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (04)| | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $16.1667|02/19| M | | | 375|03/31|03/31|Common Sto| 375| | 0| D | | |on | | 1997| | | | | 1996| 2004|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (04)| | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |SAR | $16.1667|02/19| M | | | 187|03/31|03/31|Common Sto| 187| | 0| D | | | | | 1997| | | | | 1996| 2004|ck | | | | | | | | | | | | | | | | | | | | | | | | | |(01)| | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (01) Exercise of SAR for cash. (02) On November 29, 1996, the common stock of ALLIED Group, Inc. split 3-for-2, resulting in the reporting person's acquisit ion of 206.0901 shares of common stock. (03) This option was previously reported covering 10,000 shares at an exercise price of $29.125 per share, but was adjusted t o reflect a stock split on November 29, 1996. (04) This option was previously reported covering 250 shares at an exercise price of $24.25 per share, but was adjusted to re flect a stock split on November 29, 1996 **Intentional misstatements or omissions of facts constitute Federal /s/EDWARD E. SULLIVAN 03/07/1997 Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------------------ ---------- **Signature of Reporting Person Date Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (7-96) Potential persons who are to respond to the collections of information contained in this form are not required to respond unless the form displays a currently valid OMD Number SULLIVAN, EDWARD ALLIED Group, Inc. FEB-1997 PAGE: 2 OF 2
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