Statement of Changes in Beneficial Ownership (4)
February 24 2020 - 5:55PM
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
*
NORGEOT PETER S JR |
2. Issuer Name and Ticker or Trading Symbol
ENTERGY CORP /DE/
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ETR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Transformation |
(Last)
(First)
(Middle)
C/O ENTERGY CORPORATION LEGAL DEPARTMENT, 639 LOYOLA AVENUE, 26TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/21/2020 |
(Street)
NEW ORLEANS, LA 70113
(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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Common Stock | 2/21/2020 | | M | | 10000 | A | $70.53 | 24951 | D | |
Common Stock | 2/21/2020 | | S | | 7600 | D | $130.43 (1) | 17351 | D | |
Common Stock | 2/21/2020 | | S | | 2400 | D | $131.45 (2) | 14951 | 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) | $70.53 | 2/21/2020 | | M | | | 10000 | (3) | (3) | Common Stock | 10000 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $130.02 to $130.95. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(2) | The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $131.05 to $131.83. The reporting person undertakes to provide to Entergy, any security holder of Entergy or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(3) | The options vested in three equal annual installments on January 26, 2018, 2019 and 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
NORGEOT PETER S JR C/O ENTERGY CORPORATION LEGAL DEPARTMENT 639 LOYOLA AVENUE, 26TH FLOOR NEW ORLEANS, LA 70113 |
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| SVP, Transformation |
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Signatures
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/s/ Daniel T. Falstad by power of attorney | | 2/24/2020 |
**Signature of Reporting Person | Date |
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