SEC Form 4 · accession 0000073088-17-000050
NORTHWESTERN CORP · NWE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bobbi L Schroeppel
Officer — VP Cust. Care & Communications
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 5:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000073088
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Mar 1, 2017 | A | 1,840 | $57.40 | A | 16,987 | D | |
| Common StockF4,F5,F6 | Mar 1, 2017 | A | 422 | $57.62 | A | 17,409 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired upon 12/31/16 vesting of performance units granted under the company's 2014 Long-Term Incentive Program.
- F2Share price is the closing share price on 2/16/17, the date when the company's Board of Directors approved payout and vesting of the award.
- F3Total shares owned includes shares acquired from participation in the company's Employee Stock Purchase Plan.
- F4Represents shares underlying deferred share units. The shares underlying deferred share units are issuable subsequent to the reporting person's termination of service from the company.
- F5Shares acquired upon 12/31/16 vesting of performance units granted under the company's 2011 Executive Retirement-Retention Plan.
- F6Share price is the closing share price on 2/17/2017, the date when the company's Board of Directors approved payout and vesting of the award.