SEC Form 4 · accession 0001127602-15-001282
Essential Utilities, Inc. · WTRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Smeltzer
Officer — Executive VP & CFO
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 6:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000078128
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2014 | G | 100 | $26.61 | D | 72,175 | D | |
| Common Stock | Jan 2, 2015 | M | 14,507 | $23.57 | A | 86,682 | D | |
| Common Stock | Jan 2, 2015 | S | 14,507 | $26.66 | D | 72,175 | D | |
| Common Stock | Jan 2, 2015 | M | 4,242 | $23.57 | A | 76,417 | D | |
| Common StockF1 | Jan 2, 2015 | F | 3,697 | $27.05 | D | 72,722 | D | |
| Common Stock 401kF2 | holding | — | — | — | 26,813 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $23.57 | Jan 2, 2015 | M | 14,507 | D | Mar 7, 2007 | Mar 7, 2016 | Common Stock | 14,507 | 0 | D |
| Stock Options (Right to Buy) | $23.57 | Jan 2, 2015 | M | 4,242 | D | Mar 7, 2007 | Mar 7, 2016 | Common Stock | 4,242 | 0 | D |
Explanation of responses
- F1Shares disposed of as part of a stock swap to exercise stock options.
- F2Includes additional shares acquired under the Company's 401k plan since the last filing.