SEC Form 4 · accession 0000032689-16-000103
EMPIRE DISTRICT ELECTRIC CO · EDE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald F Gatz
Officer — Vice President and COO
Period of report
Feb 3, 2016
Accepted (ET)
Feb 5, 2016 · 3:13 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 | Feb 3, 2016 | A | 5,765 | $29.53 | A | 25,023 | D | |
| Common StockF3 | Feb 3, 2016 | F | 1,901 | $29.53 | D | 23,122 | D | |
| Common Stock | holding | — | — | — | 4,496 | I | 401(k) Plan |
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,F2 | $0.00 | Feb 3, 2016 | A | 2,100 | A | Feb 3, 2019 | — | Common Stock | 2,100 | 9,400 | D |
Explanation of responses
- F1Shares of Time-Vested Restricted Stock Units vest upon the earliest of the end of the restricted period, retirement or death.
- F2Shares of Time-Vested Restricted Stock Units vest upon the earliest of the end of the restricted period, retirement or death and do not expire.
- F3Includes 375 shares acquired under the EDE Employee Stock Purchase Plan on May 29, 2015.