SEC Form 4/A · accession 0000356309-17-000145
NEW JERSEY RESOURCES CORP · NJR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Stephen D Westhoven
Officer — Senior V.P., Subsidiaries
Period of report
Oct 15, 2017
Accepted (ET)
Nov 2, 2017 · 3:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000356309
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 15, 2017 | A | 43,687 | $0.00 | A | 135,377 | D | |
| Common StockF1 | Oct 15, 2017 | F | 24,542 | $43.30 | D | 112,891 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF3,F2 | — | Oct 15, 2017 | A | 43,687 | D | — | — | Common Stock | 43,687 | 0 | D |
Explanation of responses
- F1The total amount of securities beneficially owned has been corrected to (i) reflect accrued dividends of 2,301.311 on the vested awards, through the New Jersey Resources Corporation ("NJR") Dividend Reinvestment Plan, through the NJR ESOP Plan and the NJR Employee Retirement Savings Plan and (ii) the withholding of an additional 245 shares to satisfy tax withholding obligations in connection with the vesting of Performance Shares that were inadvertently not reported due to an administrative error.
- F2Each deferred stock unit represents a contingent right to receive one share of New Jersey Resources Corporation common stock.
- F3Reflects a correction to Item 5 of Table II, which incorrectly listed the derivative securities as acquired rather than disposed of.