01/06/2025 | Press release | Distributed by Public on 01/06/2025 12:55
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options | $14.147 | 06/03/2016 | 12/03/2025 | Common Stock | 0 | 4,500 | D | ||||||||
Employee Stock Options | $16.367 | 06/08/2017 | 12/08/2026 | Common Stock | 0 | 4,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shockley C James Jr P. O. BOX 13007 ROANOKE, VA 24030 |
VP & COO |
/s/ C. James Shockley, Jr. | 01/06/2025 |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares issued on 01/02/2025 to reporting person pursuant to an award under the Restricted Stock Plan to be vested over a three-year period with 1,711.667 shares vesting on 01/02/2025, 1,711.667 shares vesting on 01/02/2026, and 1,711.666 shares vesting on 01/04/2027. |
(2) | Total includes 6,066.333 shares of unvested restricted stock from current and prior grants and also includes 166.890 shares purchased 11/01/2024 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchase Plan and 151.536 restricted shares purchased 11/01/2024 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan. |