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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 | ||||||||
Employee Stock Option to Buy | $ 41.15 | 08/10/2018 | M | 3,000 | (7) | 03/04/2019 | Common Stock | 3,000 | $ 0 (8) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOOLITTLE LEA ANNE 220 NW SECOND AVENUE PORTLAND, OR 97209 |
Chief Adm. Officer & SVP |
Shawn M. Filippi, Attorney-in-Fact | 08/14/2018 | |
**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) | This transaction was executed in multiple trades on reported date with prices ranging from $64.205 - $64.305, resulting in an average price of $64.2247. Northwest Natural Gas Company ("Issuer") will provide upon request by the Commission staff or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price. |
(2) | Shares are held in reporting person's account under Issuer's Retirement K Savings Plan as of July 31, 2018. |
(3) | Reflects shares that have been credited to reporting person's account under the Issuer's Deferred Compensation Plan for Directors and Executives. |
(4) | Reflects shares that have been credited to reporting person's account under the Issuer's Executive Deferred Compensation Plan. |
(5) | Shares are held in account of reporting person's spouse. |
(6) | Shares are held in reporting person's spouse's account under the Issuer's Retirement K Savings Plan as of July 31, 2018. |
(7) | The option vested in four equal installments on February 25, 2010, and January 1, 2011, 2012 and 2013. |
(8) | Option was granted as part of compensation for services. The option was exercised in a cashless exercise. |