SEC Form 4 · accession 0001209191-17-050242
PPL Corp · PPL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joanne H Raphael
Officer — SVP, GC & Corp Sec
Period of report
Aug 23, 2017
Accepted (ET)
Aug 25, 2017 · 8:41 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000922224
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 23, 2017 | M | 35,651 | $23.20 | A | 52,450 | D | |
| Common Stock | Aug 23, 2017 | S | 35,651 | $39.50 | D | 16,799 | D | |
| Common StockF2 | holding | — | — | — | 1,460 | I | Held in trust pursuant to the Employee Stock Ownership Plan. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F3 | $23.20 | Aug 23, 2017 | M | 35,651 | D | — | Jan 26, 2021 | Common Stock | 35,651 | 0 | D |
Explanation of responses
- F1This Form 4 report reflects the exercise of 35,651 stock options and sale of underlying shares pursuant to a 10b5-1 plan, dated March 6, 2017.
- F2Total includes the reinvestment of dividends.
- F3Represents the exercise of 35,651 stock options that vested in three installments on January 27, 2012, January 27, 2013 and January 27, 2014.