SEC Form 4 · accession 0001238841-18-000008
RGC RESOURCES INC · RGCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Orazio John S D
Officer — CEO & President · Director
Period of report
Dec 4, 2018
Accepted (ET)
Dec 7, 2018 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001069533
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 4, 2018 | M | 247 | $12.673 | A | 37,763 | D | |
| Common Stock | Dec 4, 2018 | S | 247 | $27.90 | D | 37,516 | D | |
| Common Stock | Dec 6, 2018 | M | 361 | $12.673 | A | 37,877 | D | |
| Common Stock | Dec 6, 2018 | S | 361 | $27.50 | D | 37,516 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options | $12.673 | Dec 4, 2018 | M | 247 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 247 | 3,353 | D |
| Employee Stock Options | $12.673 | Dec 6, 2018 | M | 361 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 361 | 2,992 | D |
| Empoloyee Stock Options | $12.633 | holding | — | — | — | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 7,500 | 7,500 | D |
| Empoloyee Stock Options | $14.40 | holding | — | — | — | Jun 4, 2015 | Dec 4, 2024 | Common stock | 7,500 | 7,500 | D |
| Employee Stock Options | $14.147 | holding | — | — | — | Jun 3, 2016 | Dec 3, 2025 | Common Stock | 8,250 | 8,250 | D |
| Employee Stock Options | $16.367 | holding | — | — | — | Jun 8, 2017 | Dec 8, 2026 | Common Stock | 9,750 | 9,750 | D |
Explanation of responses
- F1Exercise of options granted 04/01/2013. Includes 175.659 shares purchased through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchase Plan and 28.128 restricted shares purchased 11/01/2017 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
- F2Exercise of options granted 04/01/2013.