SEC Form 4 · accession 0000065984-16-000536
ENTERGY CORP /DE/ · ETR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roderick K West
Officer — EVP & Chief Admin. Officer
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 5:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000065984
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 3, 2016 | M | 40,000 | $64.60 | A | 69,223 | D | |
| Common StockF2 | May 3, 2016 | S | 40,000 | $75.77 | D | 29,223 | D | |
| Common Stock | May 3, 2016 | M | 24,000 | $63.17 | A | 53,223 | D | |
| Common StockF3 | May 3, 2016 | S | 24,000 | $75.75 | D | 29,223 | D | |
| Common Stock | holding | — | — | — | 2,971 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $64.60 | May 3, 2016 | M | 40,000 | D | — | Jan 31, 2023 | Common Stock | 40,000 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $63.17 | May 3, 2016 | M | 24,000 | D | — | Jan 30, 2024 | Common Stock | 24,000 | 12,000 | D |
Explanation of responses
- F1Includes 136 shares of Entergy common stock acquired under a dividend reinvestment provision of Entergy Corporation's 2011 Equity Ownership Plan.
- F2The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $75.71 to $75.84. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- F3The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $75.69 to $75.78. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- F4The options vested in three equal annual installments on January 23, 2014, 2015 and 2016.
- F5The options vested in two equal annual installments on January 30, 2015 and 2016.