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, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

BALL GEORGE L
2. Issuer Name and Ticker or Trading Symbol

EDELMAN FINANCIAL GROUP INC. [ EF ]
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)

600 TRAVIS, SUITE 5800
3. Date of Earliest Transaction (MM/DD/YYYY)

9/20/2012
(Street)

HOUSTON, TX 77002
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   9/20/2012     J (7)    585842   D $8.85   518688   D    
Common Stock   9/20/2012     J (8)    518688   D $8.85   0   D    
Common Stock   9/20/2012     J (8)    25551   D $8.85   0   I   By spouse  
Common Stock   9/20/2012     J (8)    6000   D $8.85   0   I   By trust   (1)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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 Stock Units   $8.85   (2) (3) (4) 9/20/2012     D   (3)    51723         (3)   (3) Common Stock   51723     (4) 68975   D    
Restricted Stock Units   $8.85   (2) (5) (6) 9/20/2012     D   (5)       33022      (5)   (5) Common Stock   33022     (6) 51731   D    

Explanation of Responses:
( 1)  Shares held by Bonner S. Ball Family Trust Account
( 2)  Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
( 3)  Restricted stock units, which provided for vesting of 25% on the date of grant, 50% on March 15, 2013, 75% on March 15, 2014, and 100% on March 15, 2015, were canceled in the merger in exchnage for a cash payment of $8.85 per share.
( 4)  The restricted stock units were issued pursuant to the Issuer's 2011 Executive and Key Manager Restricted Stock Unit Sub-Plan.
( 5)  Restricted stock units, which provided for vesting of 25% on the date of grant, 50% on March 15, 2012, 75% on March 15, 2013, and 100% on March 15, 2014, were canceled in the merger in exchnage for a cash payment of $8.85 per share.
( 6)  The restricted stock units were issued pursuant to the Issuer's 2010 Executive and Key Manager Restricted Stock Unit Sub-Plan.
( 7)  Disposed of pursuant to merger agreement among the Issuer, Summer Holdings II, LP, and Summer Merger Sub, Inc. Shares contributed to Lee Summer LP at a value of $8.85 per share.
( 8)  Disposed of pursuant to merger agreement among the Issuer, Summer Holdings II, LP, and Summer Merger Sub, Inc. in exchange for $8.85 in cash per share.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
BALL GEORGE L
600 TRAVIS, SUITE 5800
HOUSTON, TX 77002
X
Chief Executive Officer

Signatures
John T. Unger agent and attorney in fact for George L. Ball 9/20/2012
** 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 control number.
Edelman Financial Grp. Inc. (The) (MM) (NASDAQ:EF)
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Edelman Financial Grp. Inc. (The) (MM) (NASDAQ:EF)
과거 데이터 주식 차트
부터 6월(6) 2023 으로 6월(6) 2024 Edelman Financial Grp. Inc. (The) (MM) 차트를 더 보려면 여기를 클릭.