SEC Form 4 · accession 0001209191-18-061932
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
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 11:33 am EST
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 | Dec 7, 2018 | M | 22,410 | $28.77 | A | 39,209 | D | |
| Common Stock | Dec 7, 2018 | S | 21,310 | $31.00 | D | 17,899 | D | |
| Common Stock | Dec 7, 2018 | S | 300 | $31.001 | D | 17,599 | D | |
| Common Stock | Dec 7, 2018 | S | 800 | $31.005 | D | 16,799 | D | |
| Common StockF2 | holding | — | — | — | 1,559 | 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 | $28.77 | Dec 7, 2018 | M | 22,410 | D | — | Jan 21, 2019 | Common Stock | 22,410 | 0 | D |
Explanation of responses
- F1This Form 4 report reflects the exercise of 22,410 stock options and sale of underlying shares pursuant to a 10b5-1 plan, dated November 5, 2018.
- F2Total includes the reinvestment of dividends.
- F3Represents the exercise of 22,410 stock options that vested in three installments on January 22, 2010, January 22, 2011 and January 22, 2012.