Statement of Changes in Beneficial Ownership (4)
May 12 2021 - 4:16PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Dugenske John E |
2. Issuer Name and Ticker or Trading Symbol
ALLSTATE CORP
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ALL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) __X__ Other (specify below)
Pres, Invest. & Fin. Prod. |
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(Last)
(First)
(Middle)
C/O THE ALLSTATE CORPORATION, 2775 SANDERS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/10/2021 |
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(Street)
NORTHBROOK, IL 60062
(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 Stock | 5/10/2021 | | M | | 53991 | A | $92.80 | 118444 | D | |
| Common Stock | 5/10/2021 | | M | | 40160 | A | $92.46 | 158604 | D | |
| Common Stock | 5/10/2021 | | M | | 57540 | A | $81.86 | 216144 | D | |
| Common Stock | 5/10/2021 | | S | | 3320 | D | $133.66 (1) | 212824 | D | |
| Common Stock | 5/10/2021 | | S | | 90828 | D | $135.05 (2) | 121996 | D | |
| Common Stock | 5/10/2021 | | S | | 57543 | D | $135.74 (3) | 64453 | D | |
| Common Stock | | | | | | | | 303 (4) | I | By 401(k) Plan |
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 |
| Employee Stock Option (Right to Buy) | $92.80 | 5/10/2021 | | M | | | 53991 | 2/22/2021 | 2/22/2028 | Common Stock | 53991 | $0 | 0 | D | |
| Employee Stock Option (Right to Buy) | $92.46 | 5/10/2021 | | M | | | 40160 | (5) | 2/8/2029 | Common Stock | 40160 | $0 | 20081 | D | |
| Employee Stock Option (Right to Buy) | $81.86 | 5/10/2021 | | M | | | 57540 | 3/3/2020 | 3/3/2027 | Common Stock | 57540 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | Reflects weighted average sale price for open-market sales transaction reported herein. Actual sales prices ranged from $133.26 to $134.14. The reporting person provided to the issuer, and will provide any security holder of The Allstate Corporation or member of the SEC staff, full information regarding the number of shares sold at each separate price upon request. |
| (2) | Reflects weighted average sale price for open-market sales transaction reported herein. Actual sales prices ranged from $134.36 to $135.35. The reporting person provided to the issuer, and will provide any security holder of The Allstate Corporation or member of the SEC staff, full information regarding the number of shares sold at each separate price upon request. |
| (3) | Reflects weighted average sale price for open-market sales transaction reported herein. Actual sales prices ranged from $135.36 to $136.16. The reporting person provided to the issuer, and will provide any security holder of The Allstate Corporation or member of the SEC staff, full information regarding the number of shares sold at each separate price upon request. |
| (4) | Reflects acquisition of 7 shares of The Allstate Corporation common stock since March 2, 2020, under the Allstate 401(k) Savings Plan, pursuant to the most recent plan statement, dated May 6, 2021. |
| (5) | Stock option award granted on February 8, 2019, for 60,241 shares of common stock vesting in three equal increments. The remaining increment will vest on February 8, 2022. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Dugenske John E
C/O THE ALLSTATE CORPORATION
2775 SANDERS ROAD
NORTHBROOK, IL 60062 |
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| Pres, Invest. & Fin. Prod. |
Signatures
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| /s/ Efie Vainikos, attorney-in-fact for John E. Dugenske | | 5/12/2021 |
| **Signature of Reporting Person | Date |
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