SEC Form 4 · accession 0001567619-18-007934
Northwest Natural Holding Co · NWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lori L Russell
Officer — VP, Utility Services
Period of report
Dec 11, 2018
Accepted (ET)
Dec 13, 2018 · 5:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001733998
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 | 1,200 | $41.15 | A | 2,844 | D | |
| Common StockF1 | Dec 11, 2018 | S | 1,200 | $66.4303 | D | 1,644 | D | |
| Common StockF2 | holding | — | — | — | 737 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 3,668 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option to BuyF5,F4 | $41.15 | Dec 11, 2018 | M | 1,200 | D | — | Mar 4, 2019 | Common Stock | 1,200 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades on reported date with prices ranging from $66.391 - $66.54, resulting in an average price of $66.4303. Northwest Natural Holdings ("Issuer") will provide upon request by the Commission staff or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.
- F2Shares have been credited to the reporting person's account under issuer's Deferred Compensation Plan for Directors and Executives.
- F3Shares held in reporting person's account under issuer's Retirement K Savings Plan as of November 30, 2018.
- F4The option vested in four equal installments on February 25, 2010, January 1, 2011, 2012 and 2013.
- F5Option was granted as part of compensation for services. The option was exercised in a cashless exercise.