Amended Statement of Beneficial Ownership (3/a)
10 September 2021 - 10:12PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0104
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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 * Klein Michael
Frederick |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
11/3/2016
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3. Issuer Name and Ticker or Trading
Symbol TRAVELERS COMPANIES, INC. [TRV] |
(Last)
(First)
(Middle)
THE TRAVELERS COMPANIES, INC., 385 WASHINGTON
STREET |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
EVP & President, Personal Ins.
/ |
(Street)
ST.
PAUL, MN 55102
(City)
(State)
(Zip)
|
5. If Amendment, Date Original
Filed(MM/DD/YYYY)
11/14/2016
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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 |
Table I - Non-Derivative Securities Beneficially
Owned
|
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) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying
Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative
Security |
5. Ownership Form of Derivative Security: 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 |
Deferred Compensation Phantom Stock (1)(2) |
(2) |
(2) |
Common Stock |
15.3 (3) |
(2) |
D |
|
Explanation of
Responses: |
(1) |
This amendment to Form 3 is
being filed to report Deferred Compensation Phantom Stock held by
the reporting person, which was inadvertently not reported when the
Form 3 was originally filed on November 14, 2016. |
(2) |
Pursuant to the terms of the
plan, the executive will receive distribution of his deferred
compensation account in cash following termination of his
employment with the Company. |
(3) |
Represents the approximate
number of shares of Travelers common stock underlying the
hypothetical investment of deferred compensation pursuant to one of
the Company's deferred compensation plans. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Klein Michael Frederick
THE TRAVELERS COMPANIES, INC.
385 WASHINGTON STREET
ST. PAUL, MN 55102 |
|
|
EVP & President, Personal
Ins. |
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Signatures
|
/s/ Wendy C. Skjerven, by power of
attorney |
|
9/10/2021 |
**Signature of
Reporting Person |
Date |
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