4//SEC Filing
ENERGY EAST CORP 4
Accession 0001178411-03-000021
CIK 0001046861operating
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 4:24 PM ET
Size
10.0 KB
Accession
0001178411-03-000021
Insider Transaction Report
Form 4
WILKENS PAUL C
President-RG&E
Transactions
- Award
Phantom Shares
2003-07-30$20.45/sh+48.842$999→ 358.734 total(indirect: By Trust)→ Common Stock (48.842 underlying)
Holdings
- 7,240.046(indirect: By 401(k))
Common Stock
- 12,895
Common Stock
- 4,831(indirect: By Spouse)
Common Stock
- 20,000
Employee Stock Option (right to buy) / SAR
Exercise: $22.25From: 2003-06-28Exp: 2012-06-28→ Common Stock (20,000 underlying) - 6,666
Employee Stock Option (right to buy) / SAR
Exercise: $19.10From: 2003-02-12Exp: 2013-02-12→ Common Stock (6,666 underlying)
Footnotes (8)
- [F1]Includes equity securities acquired with participant contributions, Company matching fund contributions, and reinvested dividends pursuant to the common stock fund of the Company's 401(k) Plan which are exempt from reporting.
- [F2]1 for 1. The phantom shares are held in an employee deferred compensation plan. All payments pursuant to this plan shall be paid in cash and shall commence upon retirement or other termination of employment.
- [F3]Includes dividend phantom stock acquired pursuant to the dividend reinvestment feature included in the employee deferred compensation plan which is exempt from reporting under Rule 16a-11.
- [F4]The Stock Appreciation Right (SAR) was issued in tandem with an Employee Stock Option (right to buy). The exercise of a SAR will result in the corresponding cancellation of the Employee Stock Option (right to buy) to the extent of the number of shares of the Company's Common Stock as to which SARs are exercised. The exercise of the Employee Stock Option (right to buy) will result in the corresponding cancellation of a SAR to the extent of the number of shares of the Company's Common Stock as to which the Employee Stock Option (right to buy) is exercised.
- [F5]The option is exercisable in three installments regarding the original number of options granted as follows: (a) in aggregate as to no more than 33 1/3% on June 28, 2003; (b) in aggregate as to no more than 66 2/3% on June 28, 2004; and (c) on June 28, 2005 as to 100% of all options which have not been previously exercised.
- [F6]The option is exercisable in three installments regarding the original number of options granted as follows: (a) in aggregate as to no more than 33 1/3% on February 12, 2003; (b) in aggregate as to no more than 66 2/3% on January 1, 2004; and (c) on January 1, 2005 as to 100% of all options which have not been previously exercised.
- [F7]Reflects the forfeiture of 40,000 Employee Stock Options/SARs upon my retirement from the Company.
- [F8]Reflects the forfeiture of 13,334 Employee Stock Options/SARs upon my retirement from the Company.
Documents
Issuer
ENERGY EAST CORP
CIK 0001046861
Entity typeoperating
IncorporatedNY
Related Parties
1- filerCIK 0001046861
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 4:24 PM ET
- Size
- 10.0 KB