Ally Bank 2014 Annual Report Download - page 33

Table of Contents
Ally Financial Inc. • Form 10-K
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This performance graph shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the
Exchange Act), or incorporated by reference into any filing of Ally under the Securities Act of 1933, as amended, or the Exchange Act, except
as shall be expressly set forth by specific reference in such filing.
Recent Sales of Unregistered Securities
Ally did not have any unregistered sales of its equity securities in fiscal year 2014, except as previously disclosed on Form 8-K.
Use of Proceeds from Registered Securities
April 2014 Initial Public Offering
On April 9, 2014, our Registration Statement on Form S-1, as amended (Reg. No. 333-173198) was declared effective in connection with
the initial public offering of our common stock, pursuant to which we registered an aggregate of 102,245,670 shares of our common stock, all
of which were sold by the selling stockholder, including the underwriters’ over-allotment, at a price to the public of $25.00 per share. The
offering closed on April 15, 2014. We did not receive any proceeds from the sale of shares by the selling stockholder. The managing
underwriters of the offering were Citigroup Global Markets Inc., Goldman, Sachs & Co., Morgan Stanley & Co. LLC and Barclays Capital
Inc.
We paid $30.3 million of the offering expenses of the selling stockholders in the offering (including the underwriting discounts and
commissions). Other than these payments, we made no payments directly or indirectly to (i) any of our officers or directors or their associates;
(ii) any persons owning 10% or more of any class of our equity securities; or (iii) any of our affiliates.
December 2014 Follow-On Public Offering
On December 18, 2014, our Registration Statements on Form S-3 (Reg. No. 333-201057) became automatically effective upon filing in
connection with the follow-on public offering of our common stock, pursuant to which we registered an aggregate of 54,926,296 shares of our
common stock, all of which were sold by the selling stockholder, at a price to the public of $23.25 per share. The offering closed on
December 24, 2014. We did not receive any proceeds from the sale of shares by the selling stockholder. The managing underwriters of the
offering were Goldman, Sachs & Co. and Morgan Stanley & Co. LLC.
We paid $18.3 million of the offering expenses of the selling stockholder in the offering (including the underwriting discounts and
commissions). Other than these payments, we made no payments directly or indirectly to (i) any of our officers or directors or their associates;
(ii) any persons owning 10% or more of any class of our equity securities; or (iii) any of our affiliates.
Purchases of Equity Securities by the Issuer and Affiliated Purchasers
No shares of common stock were purchased for cash in each of the three months ended December 31, 2014.