Initial Statement of Beneficial Ownership (3)
May 19 2017 - 3:30PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Ferren Eric K
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/14/2017
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3. Issuer Name
and
Ticker or Trading Symbol
ALLSTATE CORP [ALL]
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(Last)
(First)
(Middle)
C/O/ THE ALLSTATE CORPORATION, 2775 SANDERS ROAD
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP, Controller, and CAO /
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(Street)
NORTHBROOK, IL 60062
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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475
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D
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Common Stock
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1104
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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(1)
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6/2/2024
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Common Stock
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5132
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$58.67
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D
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Employee Stock Option (Right to Buy)
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(2)
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2/18/2025
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Common Stock
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1851
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$70.71
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D
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Employee Stock Option (Right to Buy)
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(3)
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2/11/2026
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Common Stock
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7928
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$62.32
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D
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Employee Stock Option (Right to Buy)
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(4)
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2/9/2027
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Common Stock
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9399
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$78.35
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D
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Restricted Stock Units
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6/2/2017
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6/2/2017
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Common Stock
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3595
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(5)
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D
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Restricted Stock Units
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2/18/2018
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2/18/2018
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Common Stock
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3679
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(6)
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D
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Explanation of Responses:
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(1)
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Stock option award granted on June 2, 2014 for 15,394 shares of common stock vesting in three equal increments, with any fractional shares to be rounded as provided for in award agreement. The first and second increments vested on June 2, 2015 and June 2, 2016. The remaining increment to vest on June 2, 2017.
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(2)
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Stock option award granted on February 18, 2015 for 5,552 shares of common stock vesting in three equal increments, with any fractional shares to be rounded as provided for in award agreement. The first and second increments vested on February 18, 2016 and February 18, 2017. The remaining increment to vest on February 18, 2018.
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(3)
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Stock option award granted on February 11, 2016 for 11,892 shares of common stock vesting in three equal increments. The first increment vested on February 11, 2017. The remaining two increments to vest on February 11, 2018 and February 11, 2019.
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(4)
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Stock option award granted on February 9, 2017 for 9,399 shares of common stock vesting in three equal increments on February 9, 2018, February 9, 2019, and February 9, 2020.
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(5)
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Award of Restricted Stock Units (RSUs) granted under The Allstate Corporation 2013 Equity Incentive Plan. Each RSU represents the right to receive, without the payment of any consideration, one share of Allstate common stock (on the conversion date), which is June 2, 2017.
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(6)
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Award of Restricted Stock Units (RSUs) granted under The Allstate Corporation 2013 Equity Incentive Plan. Each RSU represents the right to receive, without the payment of any consideration, one share of Allstate common stock (on the conversion date), which is February 18, 2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Ferren Eric K
C/O/ THE ALLSTATE CORPORATION
2775 SANDERS ROAD
NORTHBROOK, IL 60062
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SVP, Controller, and CAO
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Signatures
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/s/ Eric K. Ferren
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5/19/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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