SEC Form 4 · accession 0001590541-17-000002
RGC RESOURCES INC · RGCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C James Shockley Jr.
Officer — VP, Operations
Period of report
Jun 13, 2017
Accepted (ET)
Jun 15, 2017 · 3:32 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 | Jun 13, 2017 | M | 1,270 | $12.673 | A | 5,513 | D | |
| Common Stock | Jun 13, 2017 | S | 1,270 | $27.00 | D | 4,243 | D | |
| Common Stock | Jun 14, 2017 | M | 500 | $12.673 | A | 4,743 | D | |
| Common Stock | Jun 14, 2017 | S | 500 | $27.19 | D | 4,243 | D | |
| Common Stock | Jun 14, 2017 | M | 1,000 | $12.673 | A | 5,243 | D | |
| Common Stock | Jun 14, 2017 | S | 1,000 | $27.16 | D | 4,243 | D | |
| Common Stock | Jun 14, 2017 | M | 1,000 | $12.673 | A | 5,243 | D | |
| Common Stock | Jun 14, 2017 | S | 1,000 | $27.222 | D | 4,243 | D | |
| Common Stock | Jun 14, 2017 | M | 730 | $12.673 | A | 4,973 | D | |
| Common Stock | Jun 14, 2017 | S | 730 | $27.00 | D | 4,243 | 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 OptionsF7 | $12.673 | Jun 13, 2017 | M | 1,270 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 1,270 | 21,230 | D |
| Employee Stock OptionF8 | $12.673 | Jun 14, 2017 | M | 500 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 500 | 20,730 | D |
| Employee Stock OptionF9 | $12.673 | Jun 14, 2017 | M | 1,000 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 1,000 | 19,730 | D |
| Employee Stock OptionF10 | $12.673 | Jun 14, 2017 | M | 1,000 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 1,000 | 18,730 | D |
| Employee Stock OptionF11 | $12.673 | Jun 14, 2017 | M | 730 | D | Oct 1, 2013 | Apr 1, 2023 | Common Stock | 730 | 18,000 | D |
Explanation of responses
- F1Exercise of options granted 04/01/2013.
- F10All options fully exercisable six months after date of grant.
- F11All options fully exercisable six months after date of grant.
- F2Includes 26.138 shares purchased through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.
- F3Exercise of options granted 04/01/2013.
- F4Exercise of options granted 04/01/2013.
- F5Exercise of options granted 04/01/2013.
- F6Exercise of options granted 04/01/2013
- F7All options fully exercisable six months after date of grant.
- F8All options fully exercisable six months after date of grant.
- F9All options fully exercisable six months after date of grant.