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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SOMERHALDER JOHN W II TEN PEACHTREE PLACE ATLANTA, GA 30309 |
X | Chairman, President and CEO |
Michelle Johnson, by power of attorney | 11/19/2013 | |
**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) | Includes 1,155.282 shares, an aggregate of 1,324.438 shares and an aggregate of 770.78 shares allocated to the reporting person's account on March 1, 2013, June 1, 2013 and September 1, 2013, respectively, pursuant to a dividend reinvestment feature of the AGL Resources Inc. Direct Stock Purchase and Dividend Reinvestment Plan. Also includes 185.577 shares and 182.716 shares allocated to the reporting person's account on June 1, 2013 and September 1, 2013, respectively, under the AGL Resources Inc. Employee Stock Purchase Plan. |
(2) | These shares were sold by The John W. Somerhalder, II Rev Trust uad 4/6/09, to which the reporting person contributed 50,000 shares of GAS common stock on August 16, 2013, in a transaction that resulted in a change in form of beneficial ownership from direct to indirect. The trust's sales reported in this Form 4 were effected pursuant to instructions given to Goldman, Sachs & Co., the broker, by the reporting person, pursuant to a Rule 10b5-1 trading plan executed on September 6, 2013. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.32 to $47.56, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(4) | Information as of statement dated September 30, 2013. |
(5) | Information as of November 8, 2013. |