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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 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) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Restricted Stock Unit Awards | $ 0 | Â | Â | Â | Â | Â | Â (3) | Â (3) | Common Stock | Â | 54,679 (4) | Â | ||
Restricted Stock Unit Grant 01/28/2013 | $ 0 | Â | Â | Â | Â | Â | Â (5) | Â (5) | Common Stock | Â | 30,000 | Â | ||
NQ Stock Option 03/12/2012 | $ 39.81 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 97,000 | Â | ||
NQ Stock Options 02/24/2012 | $ 39.24 | Â | Â | Â | Â | Â | Â (7) | Â (7) | Common Stock | Â | 175,946 | Â | ||
NQ Stock Option 02/25/2011 | $ 32.46 | Â | Â | Â | Â | Â | Â (7) | Â (7) | Common Stock | Â | 125,429 | Â | ||
NQ Stock Option 02/26/2010 | $ 37.71 | Â | Â | Â | Â | Â | Â (7) | Â (7) | Common Stock | Â | 67,304 | Â | ||
NQ Stock Option 02/27/2009 | $ 21.25 | Â | Â | Â | Â | Â | Â (7) | Â (7) | Common Stock | Â | 167,669 | Â | ||
NQ Stock Option 02/21/2008 | $ 101.05 | Â | Â | Â | Â | Â | Â (7) | Â (7) | Common Stock | Â | 8,676 | Â | ||
NQ Stock Option 02/22/2007 | $ 81.56 | Â | Â | Â | Â | Â | Â (7) | Â (7) | Common Stock | Â | 8,342 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thayer Jonathan W 10 SOUTH DEARBORN STREET 54TH FLOOR CHICAGO, IL 60603 |
 |  |  Senior EVP and CFO |  |
Scott N. Peters, Esq. Attorney in Fact for Jonathan Thayer | 01/14/2016 | |
**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) | Balance includes the following shares acquired through dividend reinvestment: 131, 123, 143 and 164 shares acquired on March 10, 2015, June 10, 2015, September 10, 2015 and December 10, 2015 respectively. |
(2) | Shares held as of December 31, 2015 in a multi-fund 401(k) Plan to be settled in cash upon the reporting person's termination of employment for any reason on a 1:1 basis. Shares are acquired through regular periodic contributions, company matching contributions, and the automatic reinvestment of dividends. |
(3) | Restricted stock unit awards made pursuant to the Exelon Long Term Incentive Plan. Share awards are made annually in January at the Compensation and Leadership Development committee's meeting and vest in 1/3 increments on the date of the committee's January meeting in the first, second and third years after the award was made. |
(4) | Balance consists of unvested shares remaining from the awards granted in January of the previous three years along with reinvested dividends as follows: 507, 481, 557 and 633 shares acquired on March 10, 2015, June 10, 2015, September 10, 2015 and December 10, 2015 respectively. |
(5) | Restricted stock grant made pursuant to the Exelon Long Term Incentive Plan. 100% of the shares will vest on January 28, 2018. |
(6) | Non-qualified employee stock options, awarded pursuant to the Exelon Long Term Incentive Plan. Options vest in 1/4 increments on each of the first four anniversaries of the grant date, referenced in column one, and expire on the tenth anniversay of the grant date. |
(7) | Non-qualified employee stock options originally granted by Constellation Energy Group that vested and were converted pursuant to the Merger Agreement. Each Constellation option was converted into an option to purchase Exelon common stock at the rate of 0.93 shares of Exelon common stock for each share of Constellation common stock at a strike price equal to the quotient of the original Constellation strike price and 0.93. The grant is fully vested and will expire on the tenth anniversary of the grant date referenced in Column 1. |