SEC Form 4 · accession 0001590541-19-000001
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
Dec 11, 2018
Accepted (ET)
Jan 4, 2019 · 3:49 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 11, 2018 | M | 1 | $12.63 | A | 5,569 | D | |
| Common Stock | Dec 11, 2018 | S | 1 | $28.00 | D | 5,568 | D | |
| Common StockF3 | Jan 2, 2019 | A | 1,244 | $27.49 | A | 6,812 | 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 | Dec 11, 2018 | M | 1 | D | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 1 | 1,599 | 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
- F2Shares issued on 01/02/2019 to reporting person pursuant to an award under the Restricted Stock Plan to be vested over a three year period with 414.667 vesting immediately.
- F3Balance includes 1,256.999 shares of unvested restricted stock.