SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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|
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Check this 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*
| C/O AFFILIATED MANAGERS GROUP, INC. |
| 600 HALE STREET |
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
AFFILIATED MANAGERS GROUP INC
[ AMG ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
|
Executive V.P. and CFO
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3. Date of Earliest Transaction
(Month/Day/Year)
07/24/2003
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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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 Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
|
2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
07/25/2003 |
|
S |
|
29,840 |
D |
$65.22
|
4,137 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Employee Stock Option (Right to Buy) |
$34.63
|
07/25/2003 |
|
M |
|
|
952 |
04/16/2001 |
04/16/2008 |
Common Stock |
952 |
$34.63
|
198,909 |
D |
|
| Employee Stock Option (Right to Buy) |
$29
|
07/25/2003 |
|
M |
|
|
28,888 |
12/02/2002 |
12/02/2009 |
Common Stock |
28,888 |
$29
|
198,909 |
D |
|
| Employee Stock Option (Right to Buy) |
$65.25
|
07/24/2003 |
|
A |
|
60,000 |
|
12/31/2006
|
07/24/2010 |
Common Stock |
60,000 |
$65.25
|
198,909 |
D |
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| Explanation of Responses: |
|
|
/s/ John Kingston, III, as Attorney-in-Fact |
07/28/2003 |
|
** 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
4
(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. |
Exhibit 24
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the
undersigned hereby severally constitutes and appoints John
Kingston, III and Nathaniel Dalton, and each of them
singly, with full power of substitution and
resubstitution, as the undersigned's true and lawful
attorney-in-fact with full power and authority to them,
and each of them singly, to prepare, sign and file for
the undersigned, in the undersigned's name and
capacity indicated below, any and all filings and documents
(including without limitation any exhibits and amendments
thereto) of the undersigned or Affiliated Managers Group,
Inc. pursuant to the Securities Exchange Act of
1934, as amended (the "Act"), including without limitation
filings pursuant to Section 16 of the Act and the
rules and regulations promulgated thereunder, and
generally to do all such things in the undersigned's
name and capacity indicated below to enable the
undersigned and Affiliated Managers Group, Inc. to
comply with the provisions of the Act and all requirements
of the Securities and Exchange Commission, hereby
ratifying and confirming the undersigned's signatures as
they may be signed by said attorneys, or any of them, or
any substitute or substitutes of any of them, on said
filings, documents, exhibits and any and all amendments
thereto, and hereby ratifying and confirming all that said
attorneys, or any of them, or any substitute or substitutes
of any of them, may lawfully do or cause to be done by
virtue hereof.
Witness my hand, this 29th day of August, 2002.
By: /s/Darrell W. Crate
Name: Darrell W. Crate
Title: Executive Vice
President and Chief Financial
Officer
