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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 | ||||||||
RSUC15 | (3) | 02/20/2018 | A | 8,773.731 (4) | 03/01/2018 | 03/01/2018 | Common Stock | 8,773.731 | $ 0 | 8,773.731 (4) | D | ||||
RSUS15 | (3) | 02/20/2018 | A | 17,752.047 (4) | 03/01/2018 | 03/01/2018 | Common Stock | 17,752.047 | $ 0 | 17,752.047 (4) | D | ||||
Phantom / Retirement | (3) | (5) | (5) | Common Stock | 444.366 | 444.366 (6) | D | ||||||||
Phantom 3/16D | (3) | (5) | (5) | Common Stock | 1,976.178 | 1,976.178 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dowling Michael J 76 SOUTH MAIN ST AKRON, OH 44308 |
Sr VP, External Affairs |
Jennifer L. Geyer, attorney-in-fact | 02/21/2018 | |
**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) | Balance includes restricted stock and shares acquired through dividend reinvestment. |
(2) | FE's 401(k) Savings Plan includes a unitized fund invested in FE stock, in which the reporting person may invest, and includes dividend reinvestment and company match features. The number of shares reported as indirectly held in the 401(k) Plan in this row is an estimate of the number of shares of FE's common stock held in the unitized stock fund and allocated to the reporting person's account as of January 31, 2018. |
(3) | 1 for 1 |
(4) | The Board approved performance results for the performance-adjusted stock based restricted stock unit grant (RSUS15) and the performance-adjusted cash based restricted stock unit grant (RSUC15) made in 2015 for the 2015-2017 performance cycle, and these awards will vest on March 1, 2018. |
(5) | This holding reflects phantom stock payable in cash upon retirement or other termination of employment under the FirstEnergy Corp. Executive Deferred Compensation Plan. Each share of phantom stock is the economic equivalent of one share of common stock. |
(6) | Includes stock units acquired through dividend reinvestment. |
Remarks: Exhibit 24: Power of Attorney (attached) |