Energy East Corp - Statement of Changes in Beneficial Ownership (4)
February 08 2008 - 2:30PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
January 31, 2008
Estimated average burden
hours per response...
0.5
|
|
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(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
LAURITO JAMES P
|
2. Issuer Name
and
Ticker or Trading Symbol
ENERGY EAST CORP
[
EAS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President-Subsidiary
|
(Last)
(First)
(Middle)
ROCHESTER GAS AND ELECTRIC CORPORATION, 89 EAST AVENUE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/6/2008
|
(Street)
ROCHESTER, NY 14649
(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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
2/6/2008
|
|
A
|
|
11880
(9)
|
A
|
$25.91
|
49763.9024
(1)
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
14.913
(2)
|
I
|
By 401(k) Plan
|
Common Stock
|
|
|
|
|
|
|
|
469.12
(2)
|
I
|
By 401(k) Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Phantom Shares
|
(4)
|
|
|
|
|
|
|
(4)
|
(4)
|
Common Stock
|
655.767
|
|
655.767
(8)
|
I
|
By Trust
|
Employee Stock Option (right to buy) / SAR
(3)
|
$24.83
|
|
|
|
|
|
|
2/17/2006
(5)
|
2/17/2016
|
Common Stock
|
4134
|
|
4134
|
D
|
|
Employee Stock Option (right to buy) / SAR
(3)
|
$24.76
|
|
|
|
|
|
|
2/7/2007
(6)
|
2/7/2017
|
Common Stock
|
8267
|
|
8267
|
D
|
|
Phantom Shares
|
(7)
|
|
|
|
|
|
|
(7)
|
(7)
|
Common Stock
|
8.552
|
|
8.552
(8)
|
I
|
By Trust
|
Explanation of Responses:
|
(
1)
|
Includes equity securities acquired with reinvested dividends which are exempt from reporting under Rule 16a-11.
|
(
2)
|
Includes equity securities acquired with participant contributions, Company matching fund contributions, and reinvested dividends pursuant to the common stock fund of the Company's 401(k) Plan which are exempt from reporting.
|
(
3)
|
The Stock Appreciation Right (SAR) was issued in tandem with an Employee Stock Option (right to buy). The exercise of a SAR will result in the corresponding cancellation of the Employee Stock Option (right to buy) to the extent of the number of shares of the Company's Common Stock as to which SARs are exercised. The exercise of the Employee Stock Option (right to buy) will result in the corresponding cancellation of a SAR to the extent of the number of shares of the Company's Common Stock as to which the Employee Stock Option (right to buy) is exercised.
|
(
4)
|
1 for 1. The phantom shares are held in an employee deferred compensation plan (RGE 401k Restoration Plan ). All payments pursuant to this plan shall be paid in cash and shall commence upon retirement or other termination of employment.
|
(
5)
|
The option is exercisable in three installments regarding the original number of options granted as follows: (a) in aggregate as to no more than 33 1/3% on February 17, 2006; (b) in aggregate as to no more than 66 2/3% on January 1, 2007; and (c) on January 1, 2008 as to 100% of all options which have not been previously exercised.
|
(
6)
|
The option is exercisable in three installments regarding the original number of options granted as follows: (a) in aggregate as to no more than 33 1/3% on February 7, 2007; (b) in aggregate as to no more than 66 2/3% on January 1, 2008; and (c) on January 1, 2009 as to 100% of all options which have not been previously exercised.
|
(
7)
|
1 for 1. The phantom shares are held in an employee deferred compensation plan (CNG Deferred Compensation Plan). All payments pursuant to this plan shall be paid in cash and shall commence upon retirement or other termination of employment.
|
(
8)
|
Includes dividend phantom stock acquired pursuant to the dividend reinvestment feature included in the Company's Director Share Plan which is exempt from reporting under Rule 16a-11.
|
(
9)
|
Grant of Restricted Stock.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
LAURITO JAMES P
ROCHESTER GAS AND ELECTRIC CORPORATION
89 EAST AVENUE
ROCHESTER, NY 14649
|
|
|
President-Subsidiary
|
|
Signatures
|
James P. Laurito
|
|
2/7/2008
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Energy East (NYSE:EAS)
Historical Stock Chart
From Oct 2024 to Nov 2024
Energy East (NYSE:EAS)
Historical Stock Chart
From Nov 2023 to Nov 2024