SEC Form 4 · accession 0001127602-16-051943
Essential Utilities, Inc. · WTRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris Franklin
Officer — Chief Executive Officer
Period of report
May 10, 2016
Accepted (ET)
May 12, 2016 · 4:12 pm EDT
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 | May 10, 2016 | M | 8,236 | $18.61 | A | 89,794 | D | |
| Common Stock | May 10, 2016 | M | 9,007 | $16.15 | A | 98,801 | D | |
| Common Stock | May 10, 2016 | S | 17,243 | $32.825 | D | 81,558 | D | |
| Common Stock | May 10, 2016 | M | 1,680 | $18.61 | A | 83,238 | D | |
| Common StockF1 | May 10, 2016 | F | 953 | $32.83 | D | 82,285 | D | |
| Common Stock 401kF2 | holding | — | — | — | 6,281 | I | 401k |
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) | $18.61 | May 10, 2016 | M | 8,236 | D | Feb 22, 2008 | Feb 22, 2017 | Common Stock | 8,236 | 0 | D |
| Stock Options (Right to Buy) | $16.15 | May 10, 2016 | M | 9,007 | D | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 9,007 | 0 | D |
| Stock Options (Right to Buy) | $18.61 | May 10, 2016 | M | 1,680 | D | Feb 22, 2008 | Feb 22, 2017 | Common Stock | 1,680 | 0 | D |
Explanation of responses
- F1Shares disposed of as part of a stock swap to exercise stock options.
- F2Includes shares acquired under the Company's 401k plan since the last filing.