SEC Form 4 · accession 0001140361-17-012024
NORTHWEST NATURAL GAS CO · NWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lea Anne Doolittle
Officer — Chief Adm. Officer & SVP
Period of report
Mar 13, 2017
Accepted (ET)
Mar 15, 2017 · 2:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000073020
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Mar 13, 2017 | M | 1,200 | $43.29 | A | 1,589 | I | See Footnote |
| Common StockF2 | Mar 13, 2017 | S | 1,200 | $58.00 | D | 389 | I | See Footnote |
| Common StockF2 | Mar 13, 2017 | M | 1,000 | $41.15 | A | 1,389 | I | See Footnote |
| Common StockF2 | Mar 13, 2017 | S | 1,000 | $58.00 | D | 389 | I | See Footnote |
| Common StockF2 | Mar 13, 2017 | M | 1,000 | $44.25 | A | 1,389 | I | See Footnote |
| Common StockF2 | Mar 13, 2017 | S | 1,000 | $58.00 | D | 389 | I | See Footnote |
| Common StockF3 | holding | — | — | — | 330 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 8,521 | I | See Footnote | |
| Common Stock | holding | — | — | — | 1,930 | D | ||
| Common StockF5 | holding | — | — | — | 3,228 | I | See Footnote | |
| Common StockF6 | holding | — | — | — | 541 | I | See Footnote |
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 to BuyF1,F7 | $43.29 | Mar 13, 2017 | M | 1,200 | D | — | Mar 6, 2018 | Common Stock | 1,200 | 0 | I |
| Employee Stock Option to BuyF1,F8 | $41.15 | Mar 13, 2017 | M | 1,000 | D | — | Mar 4, 2019 | Common Stock | 1,000 | 0 | I |
| Employee Stock Option to BuyF1,F9 | $44.25 | Mar 13, 2017 | M | 1,000 | D | — | Mar 2, 2020 | Common Stock | 1,000 | 0 | I |
Explanation of responses
- F1Option of the reporting person's spouse was granted as part of compensation for services. The option was exercised by the reporting person's spouse in a cashless exercise on March 13, 2017.
- F2Shares are held in account of reporting person's spouse.
- F3Shares are held in reporting person's spouse's account under Issuer's Retirement K Savings Plan as of February 28, 2017.
- F4Shares are held in reporting person's account under Issuer's Retirement K Savings Plan as of February 28, 2017.
- F5Reflects shares that have been credited to reporting person's account under the Issuer's Deferred Compensation Plan for Directors and Executives.
- F6Reflects shares that have been credited to reporting person's account under the Issuer's Executive Deferred Compensation Plan.
- F7The option of the reporting person's spouse vested in four equal installments on February 27, 2009, and January 1, 2010, 2011, and 2012.
- F8The option of the reporting person's spouse vested in four equal installments on February 25, 2010, and January 1, 2011, 2012 and 2013.
- F9The option of the reporting person's spouse vested in four equal installments on February 24, 2011, and January 1, 2012, 2013 and 2014.