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AVISTA CORP — Director's Dealing 2002
Dec 11, 2002
31370_dirs_2002-12-11_2c5ad9e6-e8e8-473d-8255-9fd5b7faaf21.zip
Director's Dealing
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4 1 brukardt.htm DAVID A. BRUKARDT FORM 4 Brukardt
Brukardt
The following table was generated by the Internet Assistant Wizard for Microsoft Excel. ------------------------- START OF CONVERTED OUTPUT -------------------------
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Washington, D.C. 20549 | OMB APPROVAL | |||||||||||||||
| Check this box if no longer | OMB Number: 3235-0287 | |||||||||||||||
| subject to Section 16. Form 4 | Expires: January 31, 2005 | |||||||||||||||
| or Form 5 obligations may continue. | STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | Estimated average burden | ||||||||||||||
| See instruction 1(b). | hours per response. . . . 0.5 | |||||||||||||||
| 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(f) of the Investment Company Act of 1940 | ||||||||||||||||
| (Print or Type Responses) | ||||||||||||||||
| 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting Person(s) to Issuer | ||||||||||||||
| (Check all applicable) | ||||||||||||||||
| Avista Corporation (AVA) | Director | 10% Owner | ||||||||||||||
| Brukardt | David | A. | x | Officer (give | Other (specify | |||||||||||
| (Last) | (First) | (Middle) | 3. I.R.S. Identification | 4. Statement for | title below) | below) | ||||||||||
| Number of Reporting | Month/Day/Year | |||||||||||||||
| 1411 E. Mission Avenue | Person, if an entity | Vice President | ||||||||||||||
| (Street) | (Voluntary) | November 7, 2002 | ||||||||||||||
| 5. If Amendment, Date | 7. Individual or Joint/Group Filing (Check Appplicable Line) | |||||||||||||||
| of Original (Month/Year) | __x__Form filed by One Reporting Person | |||||||||||||||
| Spokane | WA | 99202 | _____Form filed by More than One Reporting Person | |||||||||||||
| (City) | (State) | (Zip) | ||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||
| 1. Title of Security | 2. Trans- | 3. Trans- | 4. Securities Acquired (A) | 5. Amount of | 6. Ownership | 7. Nature of Indirect | ||||||||||
| (Instr. 3) | action | action | or Disposed of (D) | Securities | Form: | Beneficial | ||||||||||
| Date | Code | (Instr. 3, 4 and 5) | Beneficially | Direct (D) | Ownership | |||||||||||
| (Instr. 8) | Owned at | or | (Instr. 4) | |||||||||||||
| (Month/ | End of Month | Indirect (I) | ||||||||||||||
| Day/ | (A) or | (Instr. 3 and 4) | (Instr. 4) | |||||||||||||
| Year) | Code | V | Amount | (D) | Price | |||||||||||
| Common Stock (Held in IRA - Street Name) | 570 | I | By IRA Trustee | |||||||||||||
| Common Stock | 100 | D | ||||||||||||||
| Common Stock (401(k) Investment Plan Shares) | 1,293 | I | By Trustee | |||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | (Over) | |||||||||||||||
| *If the form is filed by more than one reporting person, see Instruction 4(b) (v). | SEC 1474 (9-02) | |||||||||||||||
| Potential persons who are to 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. | ||||||||||||||||
| FORM 4 (continued) | Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
| (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||
| 1. Title of Derivative Security | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of Deriv- | 6. Date Exer- | 7. Title and Amount of | 8. Price | 9. Number | 10. Owner- | 11. Nature | ||||||
| (Instr. 3) | sion or | action | action | ative Securities Ac- | cisable and | Underlying Securities | of | of Deriv- | ship | of | ||||||
| Exercise | Date | Code | quired (A) or Dis- | Expiration | (Instr. 3 and 4) | Deriv- | ative | Form of | Indirect | |||||||
| Price of | (Instr. 8) | posed of (D) | Date | ative | Secur- | Deriv- | Benefi- | |||||||||
| Deri- | (Month/ | (Instr. 3, 4, and 5) | (Month/Day/ | Secur- | ities | ative | cial | |||||||||
| vative | Day/ | Year) | ity | Bene- | Security: | Owner- | ||||||||||
| Security | Year) | (Instr. | ficially | Direct | ship | |||||||||||
| 5) | Owned | (D) or | (Instr.4) | |||||||||||||
| at End | Indirect | |||||||||||||||
| of Month | (I) | |||||||||||||||
| Date | Expira- | Title | Amount or | (Instr. 4) | (Instr. 4) | |||||||||||
| Exer- | tion | Number of | ||||||||||||||
| Code | V | (A) | (D) | cisable | Date | Shares | ||||||||||
| Employee Stock Options | $10.17 | 11-07-02 | A | 9,000 | * | 11-07-12 | Com. Stk. | 9,000 | 75,600 | D | ||||||
| Phantom Stock Units | 1 for 1 | ** | ** | Com. Stk. | 208 | D | ||||||||||
| Explanation of Responses: | ||||||||||||||||
| * | The options vest in four equal annual installments beginning on the first anniversary of the grant dates. |
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Washington, D.C. 20549 | OMB APPROVAL | |||||||||||||||
| Check this box if no longer | OMB Number: 3235-0287 | |||||||||||||||
| subject to Section 16. Form 4 | Expires: January 31, 2005 | |||||||||||||||
| or Form 5 obligations may continue. | STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | Estimated average burden | ||||||||||||||
| See instruction 1(b). | hours per response. . . . 0.5 | |||||||||||||||
| 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(f) of the Investment Company Act of 1940 | ||||||||||||||||
| (Print or Type Responses) | ||||||||||||||||
| 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting Person(s) to Issuer | ||||||||||||||
| (Check all applicable) | ||||||||||||||||
| Avista Corporation (AVA) | Director | 10% Owner | ||||||||||||||
| Brukardt | David | A. | x | Officer (give | Other (specify | |||||||||||
| (Last) | (First) | (Middle) | 3. I.R.S. Identification | 4. Statement for | title below) | below) | ||||||||||
| Number of Reporting | Month/Day/Year | |||||||||||||||
| 1411 E. Mission Avenue | Person, if an entity | Vice President | ||||||||||||||
| (Street) | (Voluntary) | November 7, 2002 | ||||||||||||||
| 5. If Amendment, Date | 7. Individual or Joint/Group Filing (Check Appplicable Line) | |||||||||||||||
| of Original (Month/Year) | __x__Form filed by One Reporting Person | |||||||||||||||
| Spokane | WA | 99202 | _____Form filed by More than One Reporting Person | |||||||||||||
| (City) | (State) | (Zip) | ||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||
| 1. Title of Security | 2. Trans- | 3. Trans- | 4. Securities Acquired (A) | 5. Amount of | 6. Ownership | 7. Nature of Indirect | ||||||||||
| (Instr. 3) | action | action | or Disposed of (D) | Securities | Form: | Beneficial | ||||||||||
| Date | Code | (Instr. 3, 4 and 5) | Beneficially | Direct (D) | Ownership | |||||||||||
| (Instr. 8) | Owned at | or | (Instr. 4) | |||||||||||||
| (Month/ | End of Month | Indirect (I) | ||||||||||||||
| Day/ | (A) or | (Instr. 3 and 4) | (Instr. 4) | |||||||||||||
| Year) | Code | V | Amount | (D) | Price | |||||||||||
| Common Stock (Held in IRA - Street Name) | 570 | I | By IRA Trustee | |||||||||||||
| Common Stock | 100 | D | ||||||||||||||
| Common Stock (401(k) Investment Plan Shares) | 1,293 | I | By Trustee | |||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | (Over) | |||||||||||||||
| *If the form is filed by more than one reporting person, see Instruction 4(b) (v). | SEC 1474 (9-02) | |||||||||||||||
| Potential persons who are to 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. | ||||||||||||||||
| FORM 4 (continued) | Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
| (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||
| 1. Title of Derivative Security | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of Deriv- | 6. Date Exer- | 7. Title and Amount of | 8. Price | 9. Number | 10. Owner- | 11. Nature | ||||||
| (Instr. 3) | sion or | action | action | ative Securities Ac- | cisable and | Underlying Securities | of | of Deriv- | ship | of | ||||||
| Exercise | Date | Code | quired (A) or Dis- | Expiration | (Instr. 3 and 4) | Deriv- | ative | Form of | Indirect | |||||||
| Price of | (Instr. 8) | posed of (D) | Date | ative | Secur- | Deriv- | Benefi- | |||||||||
| Deri- | (Month/ | (Instr. 3, 4, and 5) | (Month/Day/ | Secur- | ities | ative | cial | |||||||||
| vative | Day/ | Year) | ity | Bene- | Security: | Owner- | ||||||||||
| Security | Year) | (Instr. | ficially | Direct | ship | |||||||||||
| 5) | Owned | (D) or | (Instr.4) | |||||||||||||
| at End | Indirect | |||||||||||||||
| of Month | (I) | |||||||||||||||
| Date | Expira- | Title | Amount or | (Instr. 4) | (Instr. 4) | |||||||||||
| Exer- | tion | Number of | ||||||||||||||
| Code | V | (A) | (D) | cisable | Date | Shares | ||||||||||
| Employee Stock Options | $10.17 | 11-07-02 | A | 9,000 | * | 11-07-12 | Com. Stk. | 9,000 | 75,600 | D | ||||||
| Phantom Stock Units | 1 for 1 | ** | ** | Com. Stk. | 208 | D | ||||||||||
| Explanation of Responses: | ||||||||||||||||
| * | The options vest in four equal annual installments beginning on the first anniversary of the grant dates. | |||||||||||||||
| ** | The phantom stock units are accrued under the Executive Deferral Plan of Avista Corp. and will be settled in Avista Corp. Common Stock upon the reporting person's retirement, | |||||||||||||||
| death, etc. | ||||||||||||||||
| December 09, 2002 | ||||||||||||||||
| *** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. | ***Signature of Reporting Person | Date | |||||||||||||
| See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||||||||||||||||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, | ||||||||||||||||
| see Instruction 6 for procedure. | ||||||||||||||||
| Potential persons who are to respond to the collection of information contained in this form are not | Page 2 | |||||||||||||||
| required to respond unless the form displays a currently valid OMB Number. |
------------------------- END OF CONVERTED OUTPUT ------------------------- Last Updated on 12-10-2002 By Avista Corp Employee
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