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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 (1) | Â (1) | Common Stock | Â | 67,830 (3) | Â | ||
Restricted Stock Unit Grant 01/28/2013 | $ 0 | Â | Â | Â | Â | Â | Â (2) | Â (2) | Common Stock | Â | 30,000 | Â | ||
Deferred Compensation Equivalent Shares | $ 0 | Â | Â | Â | Â | Â | Â (4) | Â (4) | Common Stock | Â | 1,654 (5) | Â | ||
NQ Stock Option 03/12/2012 | $ 39.81 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 70,000 | Â | ||
NQ Stock Option 01/24/2011 | $ 43.4 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 26,000 | Â | ||
NQ Stock Option 01/25/2010 | $ 46.09 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 13,300 | Â | ||
NQ Stock Option 01/26/2009 | $ 56.51 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 14,900 | Â | ||
NQ Stock Option 01/28/2008 | $ 73.29 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 11,000 | Â | ||
NQ Stock Option 01/22/2007 | $ 59.96 | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 8,500 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cornew Kenneth W. 10 SOUTH DEARBORN STREET 54TH FLOOR CHICAGO, IL 60603 |
 |  |  Sr. EVP, Pres & CEO Generation |  |
Scott N. Peters, Esq. Attorney in Fact for Kenneth W. Cornew | 01/20/2017 | |
**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) | 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. |
(2) | Restricted stock grant made pursuant to the Exelon Long Term Incentive Plan. 100% of the shares will vest on January 28, 2018. |
(3) | Balance consists of unvested shares remaining from the awards granted in January of the previous three years along with reinvested dividends as follows: 584, 606, 634 and 612 shares acquired on March 10, 2016, June 10, 2016, September 9, 2016 and December 9, 2016 respectively. |
(4) | Phantom share equivalents representing units held in the Exelon stock fund in a multi-fund, non-qualified deferred compensation plan. The Exelon stock fund is a unitized fund that consists of Exelon common stock and short term investments. Units of the fund will be settled upon the reporting person's separation from the board for any reason. Units will be settled in cash. Units are acquired through regular periodic contributions, company matching contributions and the reinvestment of dividend equivalents. The balance of phantom share equivalents may fluctuate from time to time due to fluctuations in the fund composition. |
(5) | Balance inlcudes 17, 14, 14 and 17 share equivalents accrued on February 10, 2016, May 11, 2016, August 13, 2016 and November 9, 2016 thorugh automatic dividend reinvestment. |
(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. |