SEC Form 4 · accession 0001109357-16-000162
EXELON CORP · EXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mayo A Shattuck III
Director · Other
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 10:20 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001109357
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock (Def. Stock Units)F1 | Sep 30, 2016 | A | 972 | $33.40 | A | 12,195 | I | By. Exelon Directors Deferred Stock Unit Plan |
| Common Stock | holding | — | — | — | 433,938 | D | ||
| Common StockF2 | holding | — | — | — | 2,026 | I | By 401(k) plan | |
| Common StockF3 | holding | — | — | — | 78,519 | I | By Lizzie Mae, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Balance includes 106 shares acquired on September 9, 2016 through automatic dividend reinvestment.
- F2Shares held as of August 31, 2016 in a multi-fund 401(k) Plan to be settled in cash upon the reporting person's termination of employment for any reason on a 1:1 basis. Shares are acquired through regular periodic contributions, company matching contributions, and the automatic reinvestment of dividends.
- F3Lizzie Mae, LLC, is a limited liability company of which the reporting person is the manager and to which the reporting person transferred 78,519 shares of his Exelon common stock. On December 18, 2012, the reporting person transferred 1/3 membership interests in Lizzie Mae, LLC, to each of three trusts, each one for the benefit of one of the reporting person's three minor children. The reporting person's wife is a trustee of each of the trusts. The reporting person disclaims beneficial ownership of the Exelon Corporation common stock held by Lizzie Mae LLC except to the extent of his pecuniary interest therein.