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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 |
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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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ALEXANDER ANTHONY J 76 SOUTH MAIN STREET AKRON, OH 44308 |
X | Pres. & Chief Exec. Officer |
Edward J. Udovich, POA | 01/06/2014 | |
**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) | Includes restricted stock acquired through dividend reinvestments. |
(2) | On December 29, 2010, the reporting person contributed 100,000 shares of FirstEnergy Corp. common stock to the Anthony J. Alexander Grantor Retained Annuity Trust (the GRAT) for the benefit of himself and his four children (upon the termination of the GRAT). Upon termination of the GRAT, on December 31, 2013 11,247.856 of the shares were transferred to the reporting person's children. The remaining 46,818.717 shares were previously distributed to the reporting person and continue to be reported in this Form 4 as directly owned. |
(3) | This transaction involved gifts of securities from the GRAT upon its termination to the reporting person's children who share the reporting person's household. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(4) | This transaction reflects the number of Common Shares sold pursuant to the terms of the Restricted Stock Award Agreement and in accordance with the FirstEnergy Corp. 2007 Incentive Plan, as amended, to satisfy the reporting person's tax withholding obligation upon the vesting of 55,034.974 restricted Common Shares. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.35 to $32.38, inclusive. The reporting person undertakes to provide to FirstEnergy Corp., any security holder of FirstEnergy Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(6) | Includes 46,818.717 shares received as an annuity payment on 12/31/13 from the GRAT dated December 29, 2010. This transaction represented a change in the form of beneficial ownership without changing the reporting persons pecuniary interest in such shares. |
(7) | Includes shares that are attributable to additional common stock acquired through dividend reinvestments, price adjustments and FE Company matching funds in a unitized plan. |
(8) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(9) | Includes shares that are attributable to additional common stock acquired through dividend reinvestments and price adjustments in a unitized plan. |