Assurant insider filing: Sengupta discloses direct and 401(k) holdings

Rhea-AI Filing Summary

Assurant, Inc. reporting officer initial ownership: This Form 3 shows Subhashish Sengupta, EVP and Chief People Officer, beneficially owns 3,114.014 shares of Assurant common stock directly (including restricted stock units) and 920.12 shares indirectly via the Assurant 401(k) Plan as of June 30, 2025. The filing date for the event requiring the statement is 09/15/2025 and the form is signed on 09/22/2025.

Positive

• Complete disclosure of direct and indirect holdings including restricted stock units and 401(k) participation
• Clear identification of reporting person and role (EVP, Chief People Officer) with required dates and signature

Negative

• None.

Insights

Corporate Governance Expert

TL;DR: Routine initial ownership filing by a newly reported officer; disclosures align with Section 16 reporting requirements.

The Form 3 documents standard disclosure of equity holdings for an executive officer. The direct ownership includes restricted stock units, which is common for executive compensation, and the indirect holdings via the 401(k) plan reflect participation in the company retirement program. There are no derivative securities reported and no amendments or complex arrangements disclosed. Overall this is a routine, non-material disclosure for governance and transparency.

Securities Compliance Analyst

TL;DR: Filing appears complete for initial beneficial ownership; no red flags or missing required sections visible.

The document identifies the reporting person, relationship to issuer (EVP, Chief People Officer and director/officer), and provides share counts with explanatory notes specifying restricted stock units and 401(k) holdings as of June 30, 2025. The absence of derivative holdings simplifies compliance assessment. Signature and dates are provided. No indications of material undisclosed transactions are present in this filing.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Sengupta Subhashish

(Last) (First) (Middle)

260 INTERSTATE NORTH CIRCLE S.E.

(Street)

ATLANTA GA 30339

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/15/2025

3. Issuer Name and Ticker or Trading Symbol
ASSURANT, INC. [ AIZ ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP, Chief People Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

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)
Common Stock	3,114.014(1)	D
Common Stock	920.12(2)	I	By 401(k) Plan

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: 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

Explanation of Responses:

1. Includes restricted stock units.

2. Indirectly held shares of common stock of Assurant, Inc. under the Assurant, Inc. 401K Plan as of June 30, 2025.

	Lisa Shahon, Attorney-in-Fact	09/22/2025
	** 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 5 (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 Number.

FAQ

What shares did Subhashish Sengupta report on this Form 3 for Assurant (AIZ)?

The filing reports 3,114.014 shares held directly (including restricted stock units) and 920.12 shares held indirectly via the Assurant 401(k) Plan.

What is the reporting person’s position at Assurant listed on the Form 3?

The Form 3 lists Subhashish Sengupta as EVP, Chief People Officer and indicates officer/director status.

Are any derivative securities reported on this Form 3?

No. Table II for derivative securities shows no derivative holdings disclosed.

What dates are relevant on this Form 3 for Assurant?

The event requiring the statement is dated 09/15/2025 and the form is signed on 09/22/2025. The 401(k) holdings are reported as of June 30, 2025.

Does the filing explain the composition of the direct holdings?

Yes. The filing states the direct holdings include restricted stock units.