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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Restricted Stock Unit Awards 2016 | $ 0 | Â | Â | Â | Â | Â | Â (2) | Â (2) | Common Stock | Â | 11,937 (3) | Â | ||
Restricted Stock Unit Awards 2017 | $ 0 | Â | Â | Â | Â | Â | Â (2) | Â (2) | Common Stock | Â | 19,615 (4) | Â | ||
Restricted Stock Unit Awards 2018 | $ 0 | Â | Â | Â | Â | Â | Â (2) | Â (2) | Common Stock | Â | 25,985 (5) | Â | ||
Deferred Compensation Equivalent Shares | $ 0 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 3,421 (7) | Â | ||
NQ Stock Option (right to buy) 03/12/2012 | $ 39.81 | Â | Â | Â | Â | Â | Â (8) | Â (8) | Common Stock | Â | 88,000 | Â | ||
NQ Stock Option (right to buy) 01/24/2011 | $ 43.4 | Â | Â | Â | Â | Â | Â (8) | Â (8) | Common Stock | Â | 67,000 | Â | ||
NQ Stock Option (right to buy) 01/25/2010 | $ 46.09 | Â | Â | Â | Â | Â | Â (8) | Â (8) | Common Stock | Â | 33,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Von Hoene William A. Jr. 10 SOUTH DEARBORN STREET 54TH FLOOR CHICAGO, IL 60603 |
 |  |  Sr. Executive Vice President |  |
Katherine A. Smith, Attorney-in-Fact for William A. Von Hoene, Jr. | 01/29/2019 | |
**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) | Balance includes 4,548 shares acquired through quarterly dividend reinvestment during 2018. |
(2) | Previously awarded restricted stock units (RSUs) granted pursuant to the Exelon Long Term Incentive Plan. RSUs are granted annually at the Compensation and Leadership Development committee's first meeting in January or February and vest in 1/3 increments on the date of the committee's first annual meeting in the first, second and third years after the award was granted. Award balances accrue addtional RSUs through quarterly dividend reinvestment that vest on the same schedule as the underlying award. |
(3) | Balance includes 385 shares acquired through quarterly dividend reinvestment during 2018. |
(4) | Balance includes 632 shares acquired through quarterly dividend reinvestment during 2018. |
(5) | Balance includes 838 shares acquired through quarterly dividend reinvestment during 2018. |
(6) | Phantom share equivalents representing units held in the Exelon stock fund in a multi-fund, non-qualified deferred compensation plan. The Exelon stock fund is a unitized fund that consists of Exelon common stock and short term investments. Units of the fund will be settled upon the reporting person's separation from the company for any reason. Units will be settled in cash. Units are acquired through regular periodic contributions, company matching contributions and the reinvestment of dividend equivalents. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition. |
(7) | Balance includes 111 share equivalents accrued through quarterly dividend reinvestment during 2018. |
(8) | Non qualified employee stock options, awarded pursuant to the Exelon Long Term Incentive Plan. Options are fully vested and expire on the tenth anniversay of the grant date referenced in Column 1. |