0000902561-01-500286.txt : 20011018 0000902561-01-500286.hdr.sgml : 20011018 ACCESSION NUMBER: 0000902561-01-500286 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011005 FILED AS OF DATE: 20011010 COMPANY DATA: COMPANY CONFORMED NAME: MENDOZA ROBERTO G CENTRAL INDEX KEY: 0001102771 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O J P MORGAN & CO IINC STREET 2: 60 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10260 MAIL ADDRESS: STREET 1: C/O JP MORGAN & CO INCORPORATED STREET 2: 60 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10260 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ACE LTD CENTRAL INDEX KEY: 0000896159 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 000000000 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11778 FILM NUMBER: 1756070 BUSINESS ADDRESS: STREET 1: ACE BLDG STREET 2: 30 WOODBOURNE AVE CITY: HAMILTON HM 08 BERMU STATE: D0 ZIP: 00000 BUSINESS PHONE: 8092955200 MAIL ADDRESS: STREET 1: P O BOX HM 1015 CITY: HAMITON BERMUDA STATE: D0 ZIP: 00000 4 1 mendoza.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* MENDOZA Roberto G. -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o J.P. Morgan & Co. Incorporated 60 Wall Street -------------------------------------------------------------------------------- (Street) New York New York 10260 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol ACE Limited (NYSE: ACE) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year September 2001 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 1/12/2001 A V 9.911 A (1) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 2/22/2001 A V 54 A (2) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 2/23/2001 A V 81 A (2) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 4/16/2001 A V 11.470 A (1) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 5/11/2001 A V 992 A (2) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 7/13/2001 A V 15.914 A (1) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 8/9/2001 A V 56 A (2) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 8/10/2001 A V 84 A (2) ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Shares 9/25/2001 J(3) 20,000 A $25.22 28,957.742 D ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) Page 2 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Options to Ordinary acquire $35.25 5/11/2001 A(4) V 4,000 (4) 5/11/2011 Shares 4,000 (4) ------------------------------------------------------------------------------------------------------------------------------------ Options to Ordinary acquire $35.25 5/11/2001 A(4) V 2,000 (4) 5/11/2011 Shares 2,000 (4) 6,000 D ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: (1) Represents share units credited to the reporting person's deferred stock account pursuant to the dividend provisions of the ACE Limited 1995 Outside Directors Plan (the "Plan"). (2) Represents Ordinary Shares granted as a director retainer award or meeting award of which the reporting person has elected to defer receipt pursuant to the terms of the Plan. (3) This is an exempt purchase pursuant to SEC's emergency order dated September 14, 2001 contained in Release No. 44791, as extended on September 21 through September 28, 2001. (4) Option award pursuant to the Plan. Options vest as follows: 1/3 on the date immediately prior to each of the next three annual meetings of the registrant.
Signed for Roberto G. Mendoza pursuant to a power of attorney on file with the Securities and Exchange Commission /s/ Peter N. Mear 10 October 2001 --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 3