SEC Form 5 · accession 0001590541-18-000002
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
Sep 30, 2018
Accepted (ET)
Oct 10, 2018 · 10:43 am 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 Stock | Feb 1, 2018 | A | 3 | $23.92 | A | 5,534 | D | |
| Common Stock | Feb 1, 2018 | A | 8 | $23.92 | A | 5,541 | D | |
| Common Stock | May 1, 2018 | A | 3 | $26.43 | A | 5,544 | D | |
| Common Stock | May 1, 2018 | A | 7 | $26.43 | A | 5,551 | D | |
| Common Stock | Aug 1, 2018 | A | 2 | $28.94 | A | 5,553 | D | |
| Common Stock | Aug 1, 2018 | A | 6 | $28.94 | A | 5,559 | 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 Option | $12.633 | holding | — | — | — | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 4,500 | 4,500 | D |
| Non-Qualified Stock Option | $14.40 | holding | — | — | — | Jun 4, 2015 | Dec 4, 2024 | Common Stock | 4,500 | 4,500 | D |
| Non-Qualified Stock Option | $14.147 | holding | — | — | — | Jun 3, 2016 | Dec 3, 2025 | Common Stock | 4,500 | 4,500 | D |
| Non-Qualified Stock Option | $16.367 | holding | — | — | — | Jun 8, 2017 | Dec 8, 2026 | Common Stock | 4,500 | 4,500 | D |
Explanation of responses
- F1Shares purchased 02/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.
- F2Restricted shares purchased 02/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
- F3Shares purchased 05/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.
- F4Restricted shares purchased 05/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
- F5Shares purchased 08/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.
- F6Restricted shares purchased 08/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.