Statement of Changes in Beneficial Ownership (4)
February 14 2020 - 4:14PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
RATHGEBER JOHN F |
2. Issuer Name and Ticker or Trading Symbol
Watford Holdings Ltd.
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WTRE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O WATFORD HOLDINGS LTD. WATERLOO HOUSE, 1ST FLOOR 100 PITTS BAY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/13/2020 |
(Street)
PEMBROKE, D0 HM 08
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Common Shares, par value $0.01/share | 2/13/2020 | | P | | 200 | A | $23.41 | 50200 | D | |
Common Shares, par value $0.01/share | 2/13/2020 | | P | | 100 | A | $23.40 | 50300 | D | |
Common Shares, par value $0.01/share | 2/13/2020 | | P | | 100 | A | $23.41 | 50400 | D | |
Common Shares, par value $0.01/share | 2/13/2020 | | P | | 8100 | A | $23.50 | 58500 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Share Units | (1) | | | | | | | (2) | (2) | Common Shares, par value $0.01/share | 56540.0 | | 56540 | D | |
Explanation of Responses: |
(1) | Each restricted share unit represents a contingent right to receive one common share of Watford Holdings Ltd. |
(2) | The restricted share units are fully vested upon issuance. One-third of the common shares underlying the restricted share units will be delivered to the Reporting Person on April 26, 2020, with the remaining common shares to be delivered to the Reporting Person on December 31, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RATHGEBER JOHN F C/O WATFORD HOLDINGS LTD. WATERLOO HOUSE 1ST FLOOR 100 PITTS BAY ROAD PEMBROKE, D0 HM 08 | X |
| Chief Executive Officer |
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Signatures
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/s/ John Rathgeber | | 2/13/2020 |
**Signature of Reporting Person | Date |
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