SEC Form 4 · accession 0001590541-19-000002
RGC RESOURCES INC · RGCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C James Shockley Jr.
Officer — VP & Chief Operating Officer
Period of report
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 11:28 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 StockF2 | Mar 11, 2019 | M | 14 | $12.633 | A | 6,842 | D | |
| Common Stock | Mar 11, 2019 | S | 14 | $28.00 | D | 6,828 | D | |
| Common Stock | Mar 12, 2019 | M | 116 | $12.633 | A | 6,944 | D | |
| Common Stock | Mar 12, 2019 | S | 116 | $28.00 | D | 6,828 | 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 | Mar 11, 2019 | M | 14 | D | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 14 | 1,585 | D |
| Employee Stock Options | $12.633 | Mar 12, 2019 | M | 116 | D | Jun 6, 2014 | Dec 6, 2023 | Common Stock | 116 | 1,469 | 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.
- F2Includes 2.667 shares purchased through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchase Plan and 13.042 restricted shares purchased 02/01/2019 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.