FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/15/2003 |
3. Issuer Name and Ticker or Trading Symbol
ALLSTATE CORP [ ALL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9,228.734 | D | |
Common Stock | 3.417 | I | by 401(k)Plan |
Common Stock accompanied by tax withholding rights | 7,534(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (2) | 05/18/2010 | Common Stock | 15,201 | 26.69 | D | |
Employee Stock Option (right to buy) | (3) | 02/07/2013 | Common Stock | 18,212 | 31.78 | D | |
Employee Stock Option (right to buy) | 09/27/2003 | 02/06/2005 | Common Stock | 2,063 | 32.88 | D | |
Employee Stock Option (right to buy) | 09/27/2003 | 07/06/2005 | Common Stock | 3,811 | 32.88 | D | |
Employee Stock Option (right to buy) | (4) | 02/07/2012 | Common Stock | 32,980 | 33.38 | D | |
Employee Stock Option (right to buy) | 08/12/2003 | 08/12/2009 | Common Stock | 24,308 | 35 | D | |
Employee Stock Option (right to buy) | 08/14/2000 | 08/14/2007 | Common Stock | 11,118 | 36.64 | D | |
Employee Stock Option (right to buy) | (5) | 08/15/2006 | Common Stock | 5,086 | 41.06 | D | |
Employee Stock Option (right to buy) | 10/01/2001 | 03/08/2004 | Common Stock | 569 | 41.47 | D | |
Employee Stock Option (right to buy) | 10/01/2001 | 02/06/2005 | Common Stock | 1,631 | 41.47 | D | |
Employee Stock Option (right to buy) | (6) | 05/15/2011 | Common Stock | 23,748 | 42 | D | |
Employee Stock Option (right to buy) | 08/13/2001 | 08/13/2008 | Common Stock | 10,950 | 42.5 | D |
Explanation of Responses: |
1. Award of 2,786 shares of restricted stock with tax withholding rights to reporting person pursuant to The Allstate Corporation Equity Incentive Plan, which stock grant will vest on May 18, 2004; Award of 4,748 shares of restricted stock with tax withholding rights to reporting person pursuant to The Allstate Corporation 2001 Equity Incentive Plan, which stock grant will vest on February 14, 2007. |
2. Option to purchase 15,201 shares of common stock of which 10,134 are currently vested and exercisable; the remaining 5,067 shares of common stock will vest on May 18, 2004. |
3. Option to purchase 18,212 shares of common stock exercisable in four increments, each for one-fourth of the total number of said shares, such installments to vest on February 7, 2004, February 7, 2005, February 7, 2006 and February 7, 2007 respectively. |
4. Option to purchase 32,980 shares of common stock of which 8,245 are currently vested and exercisable; the remaining 24,735 shares of common stock will vest in equal increments of 8,245 on February 7, 2004, February 7, 2005 and February 7, 2006. |
5. Option to purchase 5,086 shares of common stock of which 3,391 are currently vested and exercisable; the remaining 1,695 shares of common stock will vest on April 10, 2004. |
6. Option to purchase 23,748 shares of common stock of which 11,874 are currently vested and exercisable; the remaining 11,874 shares of common stock will vest in equal increments of 5,937 on May 15, 2004 and May 15, 2005. |
Remarks: |
Reflects acquisition of 3.417 shares of The Allstate Corporation common stock under The Savings and Profit Sharing Fund of Allstate Employees, a 401(k) plan, pursuant to the most recent plan statement, dated November 15, 2003. Form also reflects 94.033 shares acquired during period of July 1, 2003 through October 1, 2003 through The DirectSERVICE Investment Program which reinvests dividends paid on The Allstate Corporation common shares. |
GEORGE E RUEBENSON | 11/24/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |