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EXELON CORP — Director's Dealing 2017
Oct 27, 2017
30044_dirs_2017-10-27_d67322ea-4f00-48ac-924c-07d6565e2460.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EXELON CORP (EXC)
CIK: 0001109357
Period of Report: 2017-10-25
Reporting Person: SHATTUCK MAYO A III (Director, Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-10-25 | Common Stock | M | 379337 | $37.71 | Acquired | 746986 | Direct |
| 2017-10-25 | Common Stock | S | 379337 | $40.05 | Disposed | 367649 | Direct |
| 2017-10-26 | Common Stock | M | 91036 | $39.21 | Acquired | 458685 | Direct |
| 2017-10-26 | Common Stock | S | 91036 | $40.27 | Disposed | 367649 | Direct |
| 2017-10-27 | Common Stock | M | 96697 | $39.21 | Acquired | 464346 | Direct |
| 2017-10-27 | Common Stock | S | 96697 | $40.26 | Disposed | 367649 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-10-25 | NQ Stock Option 02/26/2010 | $37.71 | M | 379337 | Disposed | 2018-03-01 | Common Stock (379337) | Direct |
| 2017-10-26 | NQ Stock Option 04/02/2012 | $39.21 | M | 91036 | Disposed | 2018-03-01 | Common Stock (91036) | Direct |
| 2017-10-27 | NQ Stock Option 04/02/2012 | $39.21 | M | 96697 | Disposed | 2018-03-01 | Common Stock (96697) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock (401k Shares) | 2091 | Direct |
| Common Stock | 10000 | Indirect |
| Common Stock (Deferred stock units) | 16676 | Indirect |
Footnotes
F1: Exercise and sale were made pursuant to a Rule 10b5-1 trading plan entered into on June 16, 2017.
F2: Shares were sold in lots ranging in price from $40.00 to $40.17. The filer undertakes to provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information rgarding the number of shares purchased or sold at each separate price.
F3: Shares were sold in lots ranging in price from $40.25 to $40.34. The filer undertakes to provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information rgarding the number of shares purchased or sold at each separate price.
F4: Shares were sold in lots ranging in price from $40.25 to $40.32. The filer undertakes to provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information rgarding the number of shares purchased or sold at each separate price.
F5: Shares held as of September 30, 2017 in a multi-fund 401(k) Plan to be settled in cash upon the reporting person's request for a distribution on a 1:1 basis. Balance is updated to reflect the additional shares acquired in the account though the automatic dividend reinvestment feature of the 401(k) plan.
F6: Exercise of fully-vested non-qualified employee stock option originally granted by Constellation Energy Group that vested and was converted pursuant to the Merger Agreemen into an option to purchase Exelon common stock at the rate of 0.93 shares of Exelon common stock for each share of Constellation common stock at a strike price equal to the quotient of the original Constellation strike price and 0.93.
F7: Exercise of fully-vested non-qualitied employee stock option granted under the Exelon Long Term Incentive Plan.
F8: The reporting person is a manager of Lizzie Mae, LLC, whose members are trusts for the benefit of the reporting person's children. The reporting person disclaims beneficial ownership of the Exelon Corporation common stock held by Lizzie Mae, LLC except to the extent of his pecuniary interest therein