SEC Form 5 · accession 0001567619-19-003392
Northwest Natural Holding Co · NWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Carter
Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 12, 2019 · 7:26 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 StockF1 | Nov 29, 2018 | G | 7,000 | $0.00 | D | 6,610 | D | |
| Common StockF1,F3 | Nov 29, 2018 | G | 7,000 | $0.00 | A | 7,000 | I | By Trust |
| CommonStockF2,F4 | holding | — | — | — | 50,081 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 7,551 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents transfer of shares as gift from reporting person to trust for the benefit of reporting person's child, for which reporting person serves as trustee.
- F2Includes 339 shares of common stock pursuant to restricted stock units (RSUs) granted in accordance with the Northwest Natural Holding Company Compensation Policy for Non-Employee Directors. These RSUs vest on May 24, 2019. Director previously elected that shares received on vesting of RSUs will be deferred under Northwest Natural Gas Company's Deferred Compensation Plan for Directors and Executives.
- F3These shares are held in a trust for the benefit of reporting person's child, for which reporting person serves as trustee. The filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purposes.
- F4Shares have been credited to reporting person's account under Northwest Natural Gas Company's Deferred Compensation Plan for Directors and Executives.
- F5Shares have been credited to reporting person's account under Northwest Natural Gas Company's Directors Deferred Compensation Plan.