SEC Form 4 · accession 0001127602-15-031201
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
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 5:50 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, 2015 | M | 11,875 | $13.72 | A | 97,487 | D | |
| Common StockF1 | Nov 10, 2015 | S | 11,875 | $28.6358 | D | 85,612 | D | |
| Common Stock 401kF2 | holding | — | — | — | 27,658 | 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) | $13.72 | Nov 10, 2015 | M | 11,875 | D | Jan 22, 2011 | Jan 22, 2020 | Common Stock | 11,875 | 0 | D |
Explanation of responses
- F1Includes additional shares acquired under the Issuer's Employee Stock Purchase Plan since the date of the reporting person's last ownership report.
- F2Includes additional shares acquired under the Company's 401k plan since the last filing.