|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Southern Co Restricted Stock Units (4) | $ 0 (2) | 12/31/2016 | M | 28,704 | 12/31/2016 | 12/31/2016 | Southern Company Common Stock | 28,704 | $ 0 (2) | 84,035 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Evans Andrew W 30 IVAN ALLEN JR. BLVD., NW ATLANTA, GA 30308 |
Pres & CEO, Southern Co. Gas |
/s/ Laura O. Hewett, Attorney-in-Fact for Andrew W. Evans | 01/03/2018 | |
**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) | In a review of our records, it was determined that the Form 4 to report the vesting of the December 31, 2016 tranche of the RSU award granted on July 1, 2016 was inadvertently missed. This Form 4 is being filed to report the December 31, 2016 vesting and reflects share ownership as of such time. |
(2) | Each restricted stock unit (RSU) represents the right to receive, at settlement, one share of common stock. |
(3) | Shares withheld to satisfy required state and federal tax withholding requirements. |
(4) | As reported in a Form 4 filed on July 6, 2016, in accordance with the Agreement and Plan of Merger dated August 23, 2015 by and among AGL Resources Inc., The Southern Company and AMS Corp., outstanding performance share units of AGL Resources Inc. were assumed by Southern Company and converted into time vesting RSUs of Southern Company. Vesting of the RSUs is as follows: 28,704 RSUs vest December 31, 2016; 37,980 RSUs vest December 31, 2017; and 46,055 RSUs vest December 31, 2018. |