SEC Form 4 · accession 0001590541-18-000003
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
Nov 29, 2018
Accepted (ET)
Dec 4, 2018 · 3:31 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 | Nov 29, 2018 | M | 1,000 | $12.633 | A | 6,568 | D | |
| Common Stock | Nov 29, 2018 | S | 1,000 | $28.00 | D | 5,568 | D | |
| Common Stock | Nov 30, 2018 | M | 1,900 | $12.633 | A | 7,468 | D | |
| Common Stock | Nov 30, 2018 | S | 1,900 | $28.00 | D | 5,568 | 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 | $12.633 | Nov 29, 2018 | M | 1,000 | D | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 1,000 | 3,500 | D |
| Employee Stock Options | $12.633 | Nov 30, 2018 | M | 1,900 | D | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 1,900 | 1,600 | D |
| Employee Stock Options | $14.40 | holding | — | — | — | Jun 4, 2015 | Dec 4, 2024 | Common Stock | 4,500 | 4,500 | D |
| Employee Stock Options | $14.147 | holding | — | — | — | Jun 3, 2016 | Dec 3, 2025 | Common Stock | 4,500 | 4,500 | D |
| Employee Stock Options | $16.367 | holding | — | — | — | Jun 8, 2017 | Dec 8, 2026 | Common Stock | 4,500 | 4,500 | D |
Explanation of responses
- F1Exercise of options granted 12/06/2013. Includes 2.383 shares purchased 11/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchase Plan and 6.538 restricted shares purchased 11/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
- F2Exercise of options granted 12/06/2013.