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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 (Right to Buy) | $ 72.79 | 11/09/2017 | M | 2,900 | (5) | (5) | Common Stock | 2,900 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 71.3 | 11/09/2017 | M | 4,600 | (6) | (6) | Common Stock | 4,600 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 63.17 | 11/09/2017 | M | 1,734 | (7) | (7) | Common Stock | 1,734 | $ 0 | 3,466 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RICE CHARLES L JR C/O ENTERGY CORPORATION LEGAL DEPARTMENT 639 LOYOLA AVENUE, 26TH FLOOR NEW ORLEANS, LA 70113 |
"Officer" Under Sec. 16 Rules |
/s/ Daniel T. Falstad by power of attorney | 11/13/2017 | |
**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) | Includes 30 shares of Entergy common stock acquired through the Entergy Corporation dividend reinvestment plan and 18 shares of Entergy common stock acquired under the dividend reinvestment feature of Entergy Corporation's equity ownership plans. |
(2) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $86.01 to $86.42. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(3) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $86.11 to $86.41. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(4) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $86.13 to $86.38. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(5) | The options vested in three equal annual installments on January 27, 2012, 2013 and 2014. |
(6) | The options vested in three equal annual installments on January 26, 2013, 2014 and 2015. |
(7) | The options vested in three equal annual installments on January 30, 2015, 2016 and 2017. |