SEC Form 4/A · accession 0001590458-18-000004
RGC RESOURCES INC · RGCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert L Wells II
Officer — VP, Information Technology
Period of report
Oct 5, 2018
Accepted (ET)
Oct 10, 2018 · 12:29 pm EDT
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 StockF2 | Oct 5, 2018 | M | 500 | $12.673 | A | 11,539 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF3 | $12.673 | Oct 5, 2018 | M | 500 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 4,000 | 4,000 | D |
| Non-Qualified Stock OptionF4 | $14.40 | holding | — | — | — | Jun 4, 2015 | Dec 4, 2024 | Common Stock | 3,750 | 3,750 | D |
| Non-Qualified Stock OptionF5 | $14.147 | holding | — | — | — | Jun 3, 2016 | Dec 3, 2025 | Common Stock | 3,750 | 3,750 | D |
| Non-Qualified Stock OptionF6 | $16.367 | holding | — | — | — | Jun 8, 2017 | Dec 8, 2026 | Common Stock | 3,750 | 3,750 | D |
Explanation of responses
- F1Exercise of options granted 04/01/2013. All options fully exercisable six months after date of grant.
- F2Includes 5.795 shares purchased 5/1/2018 and 5.296 shares purchased 08/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan. Also includes 6.644 restricted shares purchased 05/01/2018 and 6.103 restricted shares purchased 08/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
- F3Amended to reflect Non-Qualified Stock Option as derivative title.
- F4Amended to reflect Non-Qualified Stock Option as derivative title.
- F5Amended to reflect Non-Qualified Stock Option as derivative title.
- F6Amended to reflect Non-Qualified Stock Option as derivative title.