SEC Form 4 · accession 0000032689-16-000095
EMPIRE DISTRICT ELECTRIC CO · EDE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Ohlmacher
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 3:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000032689
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF4 | Jan 4, 2016 | M | 621 | — | A | 7,802 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF4,F2,F3 | $0.00 | Jan 4, 2016 | M | 621 | D | Jan 1, 2016 | — | Common Stock | 621 | 12,056 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | Jan 4, 2016 | A | 2,494 | A | Jan 1, 2019 | — | Common Stock | 2,494 | 14,550 | D |
Explanation of responses
- F1Shares of Phantom Stock Units are awarded to director pursuant to Stock Unit Plan for Directors.
- F2Shares of Phantom Stock Units are exercisable upon the earliest of this election date, retirement or death.
- F3Shares of Phantom Stock Units are exercisable upon the earliest of the election date, retirement or death and do not expire.
- F4Shares of Phantom Stock Units are the economic equivalent of one share of EDE common stock. On January 4, 2016, 621 of the reporting person's phantom stock units were converted to an equal number of shares of EDE common stock.