MBIA
Inc. Stock Ownership and Section 16
Reporting for Directors and Executive
Officers
as of
5/14/13
| Name
& Title |
|
Shares
Beneficially
Owned (¹) |
|
|
|
|
Number
of Shares
Presently
Covered
by
Plan |
| Stock
Options |
|
Trading
Plan in
Effect (²) |
|
 |
| Exercisable |
|
Unexercisable |
 |
| Non-Employee
Directors: |
|
 |
Maryann Bruce
Director |
 |
16,274 |
|
 |
N/A |
|
N/A |
|
None |
|
N/A |
 |
David
A. Coulter
Director |
 |
169,731 |
(³) |
 |
N/A |
|
N/A |
|
None |
|
N/A |
 |
Steven J. Gilbert
Director |
|
36,852 |
|
 |
N/A |
 |
N/A |
|
None |
|
N/A |
 |
Daniel P.
Kearney
Non-Executive
Chairman |
|
217,489 |
|
 |
N/A |
 |
N/A |
|
None |
|
N/A |
 |
Kewsong
Lee Director
|
|
133,253 |
(³) |
|
N/A |
|
N/A |
|
None |
|
N/A |
 |
Charles
R. Rinehart Director
|
|
77,371 |
|
|
N/A |
|
N/A |
|
None |
|
N/A |
 |
Theodore Shasta
Director |
|
56,596 |
|
|
N/A |
|
N/A |
|
None |
|
N/A |
 |
Richard
C. Vaughan
Director
|
|
58,452 |
|
|
N/A |
|
N/A |
|
None |
|
N/A |
 |
| |
|
 |
| Executive
Officers: |
|
 |
Jay Brown
Director,
CEO |
|
1,452,456 |
(4)
|
 |
0 |
|
0 |
|
(²) |
|
700,000 |
 |
C. Edward
Chaplin
Pres.,
CAO & CFO |
|
953,695 |
|
 |
37,500 |
 |
600,000 |
|
None |
|
N/A |
 |
Clifford
D. Corso
EVP
& CIO |
|
13,958 |
|
|
0 |
|
0 |
|
None |
|
N/A |
 |
William
C. Fallon
Pres.
& COO |
|
959,751 |
|
|
60,000 |
|
600,000 |
|
None |
|
N/A |
 |
Douglas
C. Hamilton
AVP
& Controller |
|
83,725 |
|
|
5,500 |
|
0 |
|
None |
|
N/A |
 |
Anthony McKiernan
EVP & CPO
|
|
559,302 |
|
|
1,500 |
|
200,000 |
|
None |
|
N/A |
 |
Ram D. Wertheim
EVP,
Chief Legal Officer
& Secretary |
|
476,246 |
|
|
60,000 |
|
450,000 |
|
None |
|
N/A |
 |
Section
16 Filings
Please click
on the link below to see any filings
made by any of the above named directors
and officers on Forms 3, 4 or 5 on
or after July 1, 2003 pursuant to
Section 16 of the Securities and Exchange
Act of 1934.
Section 16 Filings
¹ This
number includes (a) for directors,
shares of Common Stock held directly,
Common Stock equivalent deferral units
held under the Company's Amended and Restated Deferred
Compensation and Stock Ownership Plan
for Non-Employee Directors and the MBIA Inc. 2005 Non-employee
Director Deferred Compensation Plan, restricted
stock awarded directors, some of which
may be subject to forfeiture, and
(b) for executive officers, shares
of Common Stock held directly, shares
held by the executive officers under
the Company's exempt 401(k) Plan and
non-qualified contribution retirement plan and
restricted shares awarded to executive
officers as part of their long-term
compensation, some of which may be
subject to forfeiture.
²
Reflects trading plan(s) adopted pursuant
to SEC Rule 10b5-1 under which the
director or officer may purchase or
sell shares on a periodic basis or
upon occurrence of certain conditions,
as specified in such plan(s).
³
Does not include indirect holdings
of David Coulter and Kewsong Lee.
See Form 4s of Messrs. Coulter and
Lee for disclosure on indirect holdings.
4
Includes 749,000 shares held indirectly by family trust
for which Mr. Brown has disclaimed beneficial
ownership.
|