Annual Statement of Changes in Beneficial Ownership (5)
January 22 2020 - 4:49PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Von Hoene William A. Jr. | 2. Issuer Name and Ticker or Trading SymbolEXELON CORP [EXC] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr. Executive Vice President |
(Last)
(First)
(Middle)
10 SOUTH DEARBORN STREET, 54TH FLOOR | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
CHICAGO, IL 60603
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | | | | | | | 173868 (1) | D | |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (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) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit Awards 2017 | $0 | | | | | | (2) | (2) | Common Stock | 10112 | | 10112 (3) | D | |
Restricted Stock Unit Awards 2018 | $0 | | | | | | (2) | (2) | Common Stock | 17856 | | 17856 (4) | D | |
Restricted Stock Unit Awards 2019 | $0 | | | | | | (2) | (2) | Common Stock | 20986 | | 20986 (5) | D | |
Deferred Compensation Equivalent Shares | $0 | | | | | | (6) | (6) | Common Stock | 3517 | | 3517 (7) | D | |
NQ Stock Option (right to buy) 03/12/2012 | $39.81 | | | | | | (8) | (8) | Common Stock | 88000 | | 88000 | D | |
NQ Stock Option (right to buy) 01/24/2011 | $43.4 | | | | | | (8) | (8) | Common Stock | 67000 | | 67000 | D | |
NQ Stock Option (right to buy) 01/25/2010 | $46.09 | | | | | | (8) | (8) | Common Stock | 33000 | | 33000 | D | |
Explanation of Responses: |
(1) | Balance includes 3,896 shares acquired through quarterly dividend reinvestment during 2019. |
(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 301 shares acquired through quarterly dividend reinvestment during 2019. |
(4) | Balance includes 532 shares acquired through quarterly dividend reinvestment during 2019. |
(5) | Balance includes 625 shares acquired through quarterly dividend reinvestment during 2019. |
(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 81 share equivalents accrued through quarterly dividend reinvestment during 2019. |
(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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Von Hoene William A. Jr. 10 SOUTH DEARBORN STREET 54TH FLOOR CHICAGO, IL 60603 |
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| Sr. Executive Vice President |
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Signatures
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Elizabeth M. Hensen, Attorney-in-Fact for William A. Von Hoene, Jr. | | 1/22/2020 |
**Signature of Reporting Person | Date |
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