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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AGEE NANCY H PO BOX 13727 ROANOKE, VA 24036 |
X |
Nancy H. Agee by Howard T. Lyon, POA dated 01/14/05 | 03/02/2017 | |
**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 to reporting person pursuant to an election under the Restricted Stock Plan for Outside Directors of RGC Resources, Inc. |
(2) | Reporting person has 5,062 shares in her name and 18,618.296 shares in a revocable trust for which she serves as trustee. Includes 6,177.825 restricted shares and 1,687 unrestricted shares issued on March 1, 2017 due to a stock split effected in the form of a 50% stock dividend. Also includes 3,781.034 shares previously owned by her spouse, which have been transferred to a revocable trust for which the spouse serves as trustee. This trust also includes 1,260.345 shares issued on March 1, 2017 due to a stock split effected in the form of a 50% stock dividend. |
(3) | Purchases made with optional cash contributions pursuant to the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan by revocable trust for which spouse of reporting person serves as trustee. |
(4) | Reporting person has 5,062 shares in her name and 18,618.296 shares in a revocable trust for which she serves as trustee. Also includes 3,829,248 shares previously owned by her spouse, which have been transferred to a revocable trust for which the spouse serves as trustee. |