Statement of Changes in Beneficial Ownership (4)
March 30 2021 - 1:54PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
*
PONEMAN DANIEL B |
2. Issuer Name and Ticker or Trading Symbol
CENTRUS ENERGY CORP
[
LEU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
CENTRUS ENERGY CORP., 6901 ROCKLEDGE DRIVE, SUITE 800 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/26/2021 |
(Street)
BETHESDA, MD 20817
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 3/26/2021 | | M | | 12000 | A | $4.37 | 32000 | D | |
Class A Common Stock | 3/26/2021 | | S(1) | | 6734 | D | $23.4710 (2) | 25263 | D | |
Class A Common Stock | 3/26/2021 | | S(1) | | 5266 | D | $24.0922 (3) | 20000 | D | |
Table II - Derivative Securities 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 | 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 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $4.37 | 3/26/2021 | | M | | 12000 | | (4) | 3/6/2025 | Class A Common Stock | 12000 | $0 | 252000 | D | |
Explanation of Responses: |
(1) | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person on November 27, 2020, in accordance with Rule 10B5-1 of the Securities and Exchange Act of 1934, as amended. |
(2) | This transaction was executed in multiple trades at prices ranging from $22.86 to $23.85? the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Centrus Energy Corp., or a security holder of Centrus Energy Corp. |
(3) | This transaction was executed in multiple trades at prices ranging from $23.87 to $24.51 the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, Centrus Energy Corp., or a security holder of Centrus Energy Corp. |
(4) | Stock options vest in four equal annual installments beginning on March 6, 2016. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PONEMAN DANIEL B CENTRUS ENERGY CORP. 6901 ROCKLEDGE DRIVE, SUITE 800 BETHESDA, MD 20817 | X |
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Signatures
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/s/ Dennis J. Scott, Attorney-in-Fact | | 3/30/2021 |
**Signature of Reporting Person | Date |
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