SEC Form 4 · accession 0001140361-16-061266
Cleco Corporate Holdings LLC · CNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William H Walker Jr.
Director
Period of report
Apr 13, 2016
Accepted (ET)
Apr 15, 2016 · 2:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001089819
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 parF2 | Apr 13, 2016 | D | 61,084 | $55.37 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3 | — | Apr 13, 2016 | D | 50,154 | D | — | — | Common Stock, $1.00 par | 50,154 | 0 | D |
Explanation of responses
- F1Disposition of all shares pursuant to the terms of a merger completed on 04/13/2016.
- F2Includes 20.204 shares acquired on February 19, 2016 through the Cleco Corporation Dividend Reinvestment Plan.
- F3The shares of phantom stock held in the Cleco Corporation Deferred Compensation Plan will be converted into the right to receive payment in cash equal to $55.37 per share.