SEC Form 4 · accession 0000032689-16-000098
EMPIRE DISTRICT ELECTRIC CO · EDE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C James Sullivan
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 3:28 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 Stock | Jan 4, 2016 | A | 649 | $28.07 | A | 25,208 | D | |
| Common StockF1 | Jan 4, 2016 | M | 3,108 | $0.00 | A | 28,316 | 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 UnitsF1,F3,F4 | $0.00 | Jan 4, 2016 | M | 3,108 | D | Jan 1, 2016 | — | Common Stock | 3,108 | 5,097 | D |
| Phantom Stock UnitsF3,F4 | $0.00 | Jan 4, 2016 | A | 2,494 | A | Jan 1, 2019 | — | Common Stock | 2,494 | 7,591 | D |
Explanation of responses
- F1Shares of Phantom Stock Units are the economic equivalent of one share of EDE common stock. On January 4, 2016, 3,108 of the reporting person's phantom stock units were converted to an equal number of shares of EDE common stock.
- F2Shares of Phantom Stock Units are awarded to director pursuant to Stock Unit Plan for Directors.
- F3Shares of Phantom Stock Units are exercisable upon the earliest of this election date, retirement or death.
- F4Shares of Phantom Stock Units are exercisable upon the earliest of the election date, retirement or death and do not expire.