Statement of Changes in Beneficial Ownership (4)
May 13 2016 - 12:58PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Symons Robert A
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2. Issuer Name
and
Ticker or Trading Symbol
PPL Corp
[
PPL
]
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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)
Chief Exec of a PPL Subsidiary
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(Last)
(First)
(Middle)
TWO NORTH NINTH STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/12/2016
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(Street)
ALLENTOWN, PA 18101
(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 (phantom)
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5/12/2016
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M
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28880
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A
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(1)
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42781
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D
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Common Stock (phantom)
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5/12/2016
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M
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30804
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A
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(1)
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73585
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D
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Common Stock (phantom)
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5/12/2016
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D
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59684
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D
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$38.71
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13901
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock Option
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(1)
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5/12/2016
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M
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28880
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(2)
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2/15/2017
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Common Stock
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28880
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(1)
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0
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D
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Phantom Stock Option
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(1)
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5/12/2016
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M
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30804
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(3)
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2/15/2023
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Common Stock
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30804
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(1)
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0
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D
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Explanation of Responses:
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(
1)
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Each share of phantom stock represents the economic equivalent of one share of PPL common stock. The phantom stock option entitles the holder, upon exercise, to receive an amount, in cash from the holder's employer, equal to the amount by which the market price of PPL common stock on the exercise date exceeds the price of PPL common stock on the date of grant of the phantom stock option.
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(
2)
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A grant of 43,321 phantom stock options vested in three installments of 14,441 options on February 15, 2008, 14,440 options on February 15, 2009 and 14,440 options on February 15, 2010.
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(
3)
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A grant of 92,414 phantom stock options vested in three installments of 30,805 options on February 15, 2014, 30,805 options on February 15, 2015 and 30,804 options on February 15, 2016.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Symons Robert A
TWO NORTH NINTH STREET
ALLENTOWN, PA 18101
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Chief Exec of a PPL Subsidiary
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Signatures
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/s/Frederick C. Paine, as Attorney-In-Fact for Robert A. Symons
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5/13/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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