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AXS

AXIS CAPITAL HOLDINGS LTD

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3686
SEC CIK
0001214816
Parsed reports
346

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 202600
Mar 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 04, 2017 Filed Feb 7, 2017 17:15 UTC
Brooks Conrad D.EVP, General Counsel & Sec
Exercise / conversionRestricted Stock Units · Derivative 2,126 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008408 · doc4.xml · derivative · entry 4

Brooks Conrad D. · CIK 0001694171 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 2,126 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning February 4, 2014.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning February 4, 2014.

Read SEC document
February 04, 2017 Filed Feb 7, 2017 17:15 UTC
Brooks Conrad D.EVP, General Counsel & Sec
Tax withholdingCommon Shares 411 $66.66 $27,397.26
Disclosure

SEC source: 0001209191-17-008408 · doc4.xml · nonDerivative · entry 3

Brooks Conrad D. · CIK 0001694171 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,935

Read SEC document
February 04, 2017 Filed Feb 7, 2017 17:15 UTC
Brooks Conrad D.EVP, General Counsel & Sec
Disposition to issuerCommon Shares 1,063 $66.66 $70,859.58
Disclosure

SEC source: 0001209191-17-008408 · doc4.xml · nonDerivative · entry 2

Brooks Conrad D. · CIK 0001694171 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,346

Read SEC document
February 04, 2017 Filed Feb 7, 2017 17:15 UTC
Brooks Conrad D.EVP, General Counsel & Sec
Exercise / conversionCommon Shares 2,126 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008408 · doc4.xml · nonDerivative · entry 1

Brooks Conrad D. · CIK 0001694171 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,409

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:19 UTC
O'SHAUGHNESSY JAMESEVP, CAO & Corp Controller
Exercise / conversionRestricted Stock Units · Derivative 1,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008412 · doc4.xml · derivative · entry 3

O'SHAUGHNESSY JAMES · CIK 0001394386 · EVP, CAO & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 1,876 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning February 4, 2014.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning February 4, 2014.

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:19 UTC
O'SHAUGHNESSY JAMESEVP, CAO & Corp Controller
Disposition to issuerCommon Shares 938 $66.66 $62,527.08
Disclosure

SEC source: 0001209191-17-008412 · doc4.xml · nonDerivative · entry 2

O'SHAUGHNESSY JAMES · CIK 0001394386 · EVP, CAO & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,551

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:19 UTC
O'SHAUGHNESSY JAMESEVP, CAO & Corp Controller
Exercise / conversionCommon Shares 1,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008412 · doc4.xml · nonDerivative · entry 1

O'SHAUGHNESSY JAMES · CIK 0001394386 · EVP, CAO & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,489

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:18 UTC
NICHOLS JOHN DRAKECEO, AXIS Re
Tax withholdingCommon Shares 3,433 $66.66 $228,843.78
Disclosure

SEC source: 0001209191-17-008411 · doc4.xml · nonDerivative · entry 1

NICHOLS JOHN DRAKE · CIK 0001256130 · CEO, AXIS Re

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,691

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:17 UTC
Henry JosephEVP and CFO
Tax withholdingCommon Shares 2,577 $66.66 $171,782.82
Disclosure

SEC source: 0001209191-17-008410 · doc4.xml · nonDerivative · entry 1

Henry Joseph · CIK 0001552158 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,039

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:16 UTC
DiSipio Christopher N.CEO, Accident & Health
Exercise / conversionRestricted Stock Units · Derivative 6,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008409 · doc4.xml · derivative · entry 4

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 6,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning February 4, 2014.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning February 4, 2014.

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:16 UTC
DiSipio Christopher N.CEO, Accident & Health
Tax withholdingCommon Shares 1,132 $66.66 $75,459.12
Disclosure

SEC source: 0001209191-17-008409 · doc4.xml · nonDerivative · entry 3

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,142

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:16 UTC
DiSipio Christopher N.CEO, Accident & Health
Disposition to issuerCommon Shares 3,125 $66.66 $208,312.50
Disclosure

SEC source: 0001209191-17-008409 · doc4.xml · nonDerivative · entry 2

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,274

Read SEC document
February 04, 2017 Filed Feb 7, 2017 22:16 UTC
DiSipio Christopher N.CEO, Accident & Health
Exercise / conversionCommon Shares 6,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008409 · doc4.xml · nonDerivative · entry 1

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,399

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 16:28 UTC
Brooks Conrad D.EVP, General Counsel & Sec
GrantRestricted Stock Units · Derivative 546 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007107 · doc4.xml · derivative · entry 2

Brooks Conrad D. · CIK 0001694171 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 546

Underlying: Common Shares · 546 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F3 · derivative.exercise_date: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 10,934 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

F3 · derivative.expiration_date: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 10,934 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 16:28 UTC
Brooks Conrad D.EVP, General Counsel & Sec
GrantRestricted Stock Units · Derivative 5,467 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007107 · doc4.xml · derivative · entry 1

Brooks Conrad D. · CIK 0001694171 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,467

Underlying: Common Shares · 5,467 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning March 1, 2018.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning March 1, 2018.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:36 UTC
Wilson Peter WCEO, AXIS Insurance
GrantCommon Shares 703 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007119 · doc4.xml · nonDerivative · entry 2

Wilson Peter W · CIK 0001453918 · CEO, AXIS Insurance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,341

F1 · shares: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 14,060 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:36 UTC
Wilson Peter WCEO, AXIS Insurance
GrantCommon Shares 8,084 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007119 · doc4.xml · nonDerivative · entry 1

Wilson Peter W · CIK 0001453918 · CEO, AXIS Insurance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,638

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:32 UTC
Henry JosephEVP and CFO
GrantCommon Shares 937 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007115 · doc4.xml · nonDerivative · entry 2

Henry Joseph · CIK 0001552158 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,616

F1 · shares: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 18,746 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:32 UTC
Henry JosephEVP and CFO
GrantCommon Shares 10,779 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007115 · doc4.xml · nonDerivative · entry 1

Henry Joseph · CIK 0001552158 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,679

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:27 UTC
BENCHIMOL ALBERTDirector · President and CEO
GrantCommon Shares 3,905 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007103 · doc4.xml · nonDerivative · entry 2

BENCHIMOL ALBERT · CIK 0001185870 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,184

F1 · shares: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 78,112 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:27 UTC
BENCHIMOL ALBERTDirector · President and CEO
GrantCommon Shares 44,914 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007103 · doc4.xml · nonDerivative · entry 1

BENCHIMOL ALBERT · CIK 0001185870 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,279

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:35 UTC
O'SHAUGHNESSY JAMESEVP, CAO & Corp Controller
GrantRestricted Stock Units · Derivative 4,452 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007118 · doc4.xml · derivative · entry 1

O'SHAUGHNESSY JAMES · CIK 0001394386 · EVP, CAO & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,452

Underlying: Common Shares · 4,452 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · derivative.exercise_date: The restricted stock units will vest in four equal annual installments beginning March 1, 2018.

F2 · derivative.expiration_date: The restricted stock units will vest in four equal annual installments beginning March 1, 2018.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:33 UTC
NICHOLS JOHN DRAKECEO, AXIS Re
GrantCommon Shares 1,093 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007117 · doc4.xml · nonDerivative · entry 2

NICHOLS JOHN DRAKE · CIK 0001256130 · CEO, AXIS Re

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,124

F1 · shares: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 21,870 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:33 UTC
NICHOLS JOHN DRAKECEO, AXIS Re
GrantCommon Shares 12,576 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007117 · doc4.xml · nonDerivative · entry 1

NICHOLS JOHN DRAKE · CIK 0001256130 · CEO, AXIS Re

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,031

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:31 UTC
DiSipio Christopher N.CEO, Accident & Health
GrantCommon Shares 562 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007112 · doc4.xml · nonDerivative · entry 2

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,149

F1 · shares: Represents a guaranteed minimum award of performance-based restricted stock units. The award may increase up to 11,248 restricted stock units provided that certain Company performance conditions are satisfied. The award will be eligible to vest in a single installment on March 1, 2020.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 21:31 UTC
DiSipio Christopher N.CEO, Accident & Health
GrantCommon Shares 6,467 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007112 · doc4.xml · nonDerivative · entry 1

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,587

Read SEC document
January 17, 2017 Filed Jan 19, 2017 16:28 UTC GrantCommon Shares 3,251 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004475 · doc4.xml · nonDerivative · entry 1

Friedman Robert L. · CIK 0001085357 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,797

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 16:27 UTC GrantCommon Shares 1,548 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004473 · doc4.xml · nonDerivative · entry 1

Boisseau Jane · CIK 0001563575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,364

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 16:33 UTC GrantCommon Shares 3,406 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004494 · doc4.xml · nonDerivative · entry 1

Zeller Wilhelm · CIK 0001467886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 16:30 UTC GrantCommon Shares 387 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004478 · doc4.xml · nonDerivative · entry 1

Lister Cheryl-Ann · CIK 0001445894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,647

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 21:31 UTC GrantCommon Shares 2,032 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004483 · doc4.xml · nonDerivative · entry 1

SMITH HENRY B · CIK 0001285737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,559

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 16:29 UTC GrantCommon Shares 1,548 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004477 · doc4.xml · nonDerivative · entry 1

KEANE MAURICE A · CIK 0001249937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,273

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 21:31 UTC
Young AliceDirector
GrantCommon Shares 1,548 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-004489 · doc4.xml · nonDerivative · entry 1

Young Alice · CIK 0001570706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,570

F1 · price: Common Shares issued as director's fees using January 17, 2017 closing price of $64.59.

Read SEC document
January 04, 2017 Filed Jan 5, 2017 16:29 UTC SaleCommon Shares 34,026 $65.85 $2,240,697.17
Disclosure

SEC source: 0001209191-17-002095 · doc4.xml · nonDerivative · entry 2

BUTT MICHAEL A · CIK 0001249919 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 965,956

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · price: The 34,026 shares sold consist of the trades listed in Exhibit 1.

Read SEC document
January 03, 2017 Filed Jan 5, 2017 16:29 UTC SaleCommon Shares 124,920 $65.25 $8,151,454.73
Disclosure

SEC source: 0001209191-17-002095 · doc4.xml · nonDerivative · entry 1

BUTT MICHAEL A · CIK 0001249919 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 999,982

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The 124,920 shares sold consist of the trades listed in Exhibit 1.

Read SEC document
December 28, 2016 Filed Jan 3, 2017 23:26 UTC
Gieryn Richard T JREVP, General Counsel & Sec
GiftCommon Shares 7,600 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-000439 · doc4.xml · nonDerivative · entry 1

Gieryn Richard T JR · CIK 0001373524 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,358

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:00 UTC
BENCHIMOL ALBERTDirector · President and CEO
GiftCommon Shares 8,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-155194 · doc4.xml · nonDerivative · entry 1

BENCHIMOL ALBERT · CIK 0001185870 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,365

Read SEC document
December 07, 2016 Filed Dec 9, 2016 21:24 UTC
NICHOLS JOHN DRAKECEO, AXIS Re
GrantCommon Shares 22,106 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-154410 · doc4.xml · nonDerivative · entry 1

NICHOLS JOHN DRAKE · CIK 0001256130 · CEO, AXIS Re

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,455

F1 · shares: On December 7, 2016, the Company's Compensation Committee determined satisfaction of performance criteria for performance-based restricted stock units granted on February 4, 2014. This amount represents additional performance-based restricted stock units that have been earned pursuant to the award in addition to the guaranteed minimum payout of 1,579 restricted stock units which were previously reported on February 6, 2014. The restricted stock units will vest in a single installment on March 1, 2017.

Read SEC document
December 07, 2016 Filed Dec 9, 2016 21:23 UTC
Henry JosephEVP and CFO
GrantCommon Shares 18,948 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-154409 · doc4.xml · nonDerivative · entry 1

Henry Joseph · CIK 0001552158 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,900

F1 · shares: On December 7, 2016, the Company's Compensation Committee determined satisfaction of performance criteria for performance-based restricted stock units granted on February 4, 2014. This amount represents additional performance-based restricted stock units that have been earned pursuant to the award in addition to the guaranteed minimum payout of 1,353 restricted stock units which were previously reported on February 6, 2014. The restricted stock units will vest in a single installment on March 1, 2017.

Read SEC document
December 07, 2016 Filed Dec 9, 2016 21:21 UTC
DiSipio Christopher N.CEO, Accident & Health
GrantRestricted Stock Units · Derivative 11,368 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-154406 · doc4.xml · derivative · entry 1

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,180

Underlying: Common Stock · 11,368 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · shares: On December 7, 2016, the Company's Compensation Committee determined satisfaction of performance criteria for performance-based restricted stock units granted on February 4, 2014. This amount represents additional performance-based restricted stock units that have been earned pursuant to the award in addition to the guaranteed minimum payout of 812 restricted stock units which were previously reported on February 6, 2014. The restricted stock units will vest in a single installment on March 1, 2017.

F2 · derivative.exercise_date: On December 7, 2016, the Company's Compensation Committee determined satisfaction of performance criteria for performance-based restricted stock units granted on February 4, 2014. This amount represents additional performance-based restricted stock units that have been earned pursuant to the award in addition to the guaranteed minimum payout of 812 restricted stock units which were previously reported on February 6, 2014. The restricted stock units will vest in a single installment on March 1, 2017.

F2 · derivative.expiration_date: On December 7, 2016, the Company's Compensation Committee determined satisfaction of performance criteria for performance-based restricted stock units granted on February 4, 2014. This amount represents additional performance-based restricted stock units that have been earned pursuant to the award in addition to the guaranteed minimum payout of 812 restricted stock units which were previously reported on February 6, 2014. The restricted stock units will vest in a single installment on March 1, 2017.

Read SEC document
December 07, 2016 Filed Dec 9, 2016 21:22 UTC
Gieryn Richard T JREVP, General Counsel & Sec
GrantRestricted Stock Units · Derivative 11,368 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-154408 · doc4.xml · derivative · entry 1

Gieryn Richard T JR · CIK 0001373524 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,180

Underlying: Common Stock · 11,368 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit will be equal in value to one common share (50% of the restricted stock units will be settled in common shares and 50% will be settled in cash).

F2 · shares: On December 7, 2016, the Company's Compensation Committee approved the payout for performance-based restricted stock units pursuant to an award granted on February 4, 2014. This represents the performance-based restricted stock units that have been earned pursuant to the award less the guaranteed minimum payout of 812 restricted stock units which were previously reported on February 6, 2014. Under the award agreement, the restricted stock units are scheduled to vest in a single installment on March 1, 2017.

F2 · derivative.exercise_date: On December 7, 2016, the Company's Compensation Committee approved the payout for performance-based restricted stock units pursuant to an award granted on February 4, 2014. This represents the performance-based restricted stock units that have been earned pursuant to the award less the guaranteed minimum payout of 812 restricted stock units which were previously reported on February 6, 2014. Under the award agreement, the restricted stock units are scheduled to vest in a single installment on March 1, 2017.

F2 · derivative.expiration_date: On December 7, 2016, the Company's Compensation Committee approved the payout for performance-based restricted stock units pursuant to an award granted on February 4, 2014. This represents the performance-based restricted stock units that have been earned pursuant to the award less the guaranteed minimum payout of 812 restricted stock units which were previously reported on February 6, 2014. Under the award agreement, the restricted stock units are scheduled to vest in a single installment on March 1, 2017.

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November 16, 2016 Filed Nov 18, 2016 22:00 UTC
DiSipio Christopher N.CEO, Accident & Health
SaleCommon Shares 500 $61.04 $30,520.00
Disclosure

SEC source: 0001209191-16-151257 · doc4.xml · nonDerivative · entry 1

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,120

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November 16, 2016 Filed Jan 3, 2017 23:27 UTC Amendment
DiSipio Christopher N.CEO, Accident & Health
GiftCommon Shares 500 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-000441 · doc4a.xml · nonDerivative · entry 1

DiSipio Christopher N. · CIK 0001559051 · CEO, Accident & Health

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,120

F1 · kind: This Amendment is being filed to correctly report the transaction as a donation of stock rather than a sale.

F1 · price: This Amendment is being filed to correctly report the transaction as a donation of stock rather than a sale.

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October 14, 2016 Filed Oct 17, 2016 17:11 UTC SaleCommon Shares 36,773 $57.01 $2,096,505.95
Disclosure

SEC source: 0001209191-16-146074 · doc4.xml · nonDerivative · entry 2

BUTT MICHAEL A · CIK 0001249919 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,124,902

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · price: The 36,773 shares sold consist of the trades listed in Exhibit 1.

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October 13, 2016 Filed Oct 17, 2016 17:11 UTC SaleCommon Shares 3,900 $57.00 $222,312.87
Disclosure

SEC source: 0001209191-16-146074 · doc4.xml · nonDerivative · entry 1

BUTT MICHAEL A · CIK 0001249919 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,161,675

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The 3,900 shares sold consist of the trades listed in Exhibit 1.

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September 09, 2016 Filed Sep 12, 2016 22:01 UTC
Gieryn Richard T JREVP, General Counsel & Sec
SaleCommon Shares 10,400 $56.15 $583,974.56
Disclosure

SEC source: 0001209191-16-140978 · doc4.xml · nonDerivative · entry 1

Gieryn Richard T JR · CIK 0001373524 · EVP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,958

F1 · price: The 10,400 shares sold consist of the trades listed in Exhibit 1.

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September 06, 2016 Filed Sep 8, 2016 17:17 UTC
BUTT MICHAEL ADirector · Chairman of the Board
SaleCommon Shares 31,345 $57.02 $1,787,222.94
Disclosure

SEC source: 0001209191-16-140595 · doc4.xml · nonDerivative · entry 2

BUTT MICHAEL A · CIK 0001249919 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,165,575

F2 · price: The 31,345 shares sold consist of the trades listed in Exhibit 1.

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September 02, 2016 Filed Sep 8, 2016 17:17 UTC
BUTT MICHAEL ADirector · Chairman of the Board
SaleCommon Shares 19,036 $57.01 $1,085,190.96
Disclosure

SEC source: 0001209191-16-140595 · doc4.xml · nonDerivative · entry 1

BUTT MICHAEL A · CIK 0001249919 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,196,920

F1 · price: The 19,036 shares sold consist of the trades listed in Exhibit 1.

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July 01, 2003 Filed Jul 3, 2003 18:20 UTC
JPMORGAN CHASE & COFormer 10% Owner
SaleCommon Stock 1,190,840 $20.68 $24,626,571.20
Disclosure

SEC source: 0000019617-03-000373 · jpm11.xml · nonDerivative · entry 1

J P MORGAN CHASE & CO · CIK 0000019617 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 14,815,536

F1 · ownership.nature: The Reporting Person beneficially owns equity securities of the Issuer indirectly through wholly owned entities, either directly or indirectly. The Reporting Person disclaims beneficial ownership in the securities to the extent it exceeds its pecuniary interest therein. These entities sold common shares of the Issuer. The following sets forth the applicable selling entity and the aggregate amount of common shares sold by such entity: J.P. Morgan Partners (BHCA), L.P. - 633,360 shares; J.P. Morgan Partners Global Investors, L.P. - 3,039 shares; J.P. Morgan Partners Global Investors A, L.P. - 10,129 shares; J.P. Morgan Partners Global Investors (Cayman), L.P. - 50,919 shares; J.P. Morgan Partners Global Investors (Cayman) II, L.P. - 5,674 shares; J.P. Morgan Partners Global Investors (Cayman) III, L.P. - 57,889 shares; J.P. Morgan Partners Global Investors (Cayman) IV, L.P. - 42,962 shares; J.P. Morgan Partners Capital, L.P. - 88,979 shares; and J.P. Morgan Partners Corsair II Offshore Capital Partners, L.P. - 297,889 shares.

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Date not disclosed Filed Jun 30, 2003 19:58 UTC OtherCommon Stock 4,004,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000019617-03-000356 · jpm6.xml · nonDerivative · entry 9

J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

F9 · ownership.nature: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Corsair II Offshore Capital Partners, L.P. ("Corsair"), a portion of which may be deemed attributable to the Reporting Person because its General Partner, Corsair II Offshore, LLC is an indirect, wholly owned subsidiary of the Reporting Person. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting within BHCA and within its general partner. The Reporting Person disclaims beneficial ownership in the securities to the extent it exceeds its pecuniary interest therein

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.