SEC Form 4/A · accession 0001437749-19-002962
Otter Tail Corp · OTTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles S Macfarlane
Officer — President & CEO
Period of report
Feb 6, 2019
Accepted (ET)
Feb 20, 2019 · 5:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001466593
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 6, 2019 | M | 7,900 | — | A | 139,872 | D | |
| Common StockF2,F3 | Feb 6, 2019 | F | 3,307 | $48.045 | D | 136,565 | D | |
| Common Stock | holding | — | — | — | 2,530 | I | by ESOP | |
| Common Stock | holding | — | — | — | 1,994 | I | By daughter | |
| Common Stock | holding | — | — | — | 1,984 | I | by Son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F4 | — | Feb 6, 2019 | M | 2,000 | D | Feb 6, 2019 | Feb 6, 2019 | Common Stock | 0 | 0 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 6, 2019 | M | 2,375 | D | Feb 6, 2019 | — | Common Stock | 2,375 | 2,375 | D |
| Restrcted Stock UnitsF1,F6 | — | Feb 6, 2019 | M | 1,725 | D | Feb 6, 2019 | — | Common Stock | 3,450 | 3,450 | D |
| Restricted Stock UnitsF1,F7 | — | Feb 6, 2019 | M | 1,800 | D | Feb 6, 2019 | — | Common Stock | 5,400 | 5,400 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Otter Tail Corporation common stock.
- F2Adjusted to decrease the number of shares previously reported and updates total shares held not including updated DRIP share amounts.
- F3Total direct holdings include shares acquired through the Dividend Reinvestment Plan, the Employee Stock Purchase Plan and shares acquired pursuant to Stock Options, Restricted Stock Awards, Restricted Stock Units and Performance Share Awards.
- F4The restricted stock units vest in four equal installments which began February 6, 2016.
- F5The restricted stock units vest in four equal annual installments which began February 6, 2017.
- F6The restricted stock units vest in four equal annual installments which began February 6, 2018.
- F7The restricted stock units vest in four equal annual installments beginning the date shown above.
Remarks
THIS FILING IS DEEMED TO ALSO AMEND AND CORRECT THE FILING DATED FEBRUARY 13, 2019.