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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 | ||||||||
Phantom Stock Units | (2) | (2) | (2) | Common Stock | 27,690 | 27,690 (3) | I | By Constellation Deferred Compensation Plan for Non-employee Directors | |||||||
Deferred Compensation - Phantom Share Equivalents | (4) | 09/29/2017 | A | 882 | (4) | (4) | Common Stock | 882 | $ 37.67 | 20,553 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERZIN ANN C 10 SOUTH DEARBORN STREET 54TH FLOOR CHICAGO, IL 60603 |
X |
Scott N. Peters, Esq., Attorney in Fact for Ann C. Berzin | 10/02/2017 | |
**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) | Balance includes 163 shares acquired on September 8, 2017 through automatic dividend reinvestment. |
(2) | Phantom stock units (which are in the form of deferred stock units) converted from the legacy Constellation Energy Group (CEG) Directors Deferred Compensation Plan to phantom units of Exelon common stock at the rate of 0.93 Exelon units for each unit of CEG. Units will be settled in cash on a 1 for 1 basis upon the termination of the reporting person's service on the Exelon board of directors. Balance updated to reflect additional stock units credited to the account through the dividend reinvestment feature of the plan. |
(3) | Balance includes 236 shares acquired on September 8, 2017 through automatic dividend reinvestment. |
(4) | Phantom share equivalents acquired through regular periodic contributions of deferred board compensation and the reinvestment of dividend equivalents in reporting person's Exelon stock fund account under multi-fund, non-qualified deferred compensation plan. The unitized fund consists of Exelon common stock and short term investments and will be settled in cash upon the reporting person's separation from the board for any reason. The balance of such phantom share equivalents may fluctuate from time to time due to fluctuations in the fund composition. |
(5) | Balance includes 167 share equivalents accrued on August 11, 2017 through automatic dividend reinvestment. |