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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 | ||||||||
Employee Stock Option to Buy | $ 31.34 | (7) | 03/04/2014 | Common Stock | 3,000 | 3,000 | D | ||||||||
Employee Stock Option to Buy | $ 34.29 | (8) | 02/29/2016 | Common Stock | 3,000 | 3,000 | D | ||||||||
Employee Stock Option to Buy | $ 44.48 | (9) | 02/28/2017 | Common Stock | 3,000 | 3,000 | D | ||||||||
Employee Stock Option to Buy | $ 43.29 | (10) | 03/06/2018 | Common Stock | 4,000 | 4,000 | D | ||||||||
Employee Stock Option to Buy | $ 41.15 | (11) | 03/04/2019 | Common Stock | 3,000 | 3,000 | D | ||||||||
Employee Stock Option to Buy | $ 44.25 | (12) | 03/02/2020 | Common Stock | 3,000 | 3,000 | D | ||||||||
Employee Stock Option to Buy | $ 44.48 | (13) | 02/28/2017 | Common Stock | 600 | 600 | I | See Footnote (13) | |||||||
Employee Stock Option to Buy | $ 43.29 | (14) | 03/06/2018 | Common Stock | 1,200 | 1,200 | I | See Footnote (14) | |||||||
Employee Stock Option to Buy | $ 41.15 | (15) | 03/04/2019 | Common Stock | 1,000 | 1,000 | I | See Footnote (15) | |||||||
Employee Stock Option to Buy | $ 44.25 | (16) | 03/02/2020 | Common Stock | 1,000 | 1,000 | I | See Footnote (16) | |||||||
Employee Stock Option to Buy | $ 45.74 | 02/23/2011 | A | 5,000 | (17) | 03/02/2021 | Common Stock | 5,000 | $ 0 | 5,000 | I | See Footnote (17) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOOLITTLE LEA ANNE 220 NW SECOND AVENUE PORTLAND, OR 97209 |
SVP |
Shawn M. Filippi, Attorney-in-Fact | 02/25/2011 | |
**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) | Shares are issuable as a result of satisfaction of performance goals for 2008-2010 under a performance share award. Organization and Executive Compensation Committee certification of the award payout level occurred on the transaction date. |
(2) | Held in reporting person's account under issuer's Retirement K Savings Plan as of January 31, 2011 |
(3) | Shares have been credited to reporting person's account under the issuer's Executive Deferred Compensation Plan. |
(4) | Shares have been credited to reporting person's account under the issuer's Deferred Compensation Plan for Directors and Executives. |
(5) | Held in account of reporting person's spouse. |
(6) | Held in account of reporting person's spouse under the issuer's Retirement K Savings Plan as of January 31, 2011. |
(7) | Option was granted for 5,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option fully vested on January 1, 2007. |
(8) | Option was granted for 3,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option fully vested on January 1, 2010. |
(9) | Option was granted for 3,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option fully vested on January 1, 2011. |
(10) | Option was granted for 4,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 1,000 shares on each February 27, 2009 and January 1, 2010, 2011, and 2012. |
(11) | Option was granted for 3,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 750 shares on each February 25, 2010 and January 1, 2011, 2012, and 2013. |
(12) | Option was granted for 3,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 750 shares on each February 24, 2011 and January 1, 2012, 2013 and 2014. |
(13) | Option for 600 shares was granted to reporting person's spouse pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 150 shares on each February 21, 2008 and January 1, 2009, 2010, and 2011. |
(14) | Option for 1,200 shares was granted to reporting person's spouse pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 300 shares on each February 27, 2009 and January 1, 2010, 2011, and 2012. |
(15) | Option for 1,000 shares was granted to reporting person's spouse pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 250 shares on each February 25, 2010 and January 1, 2011, 2012, and 2013. |
(16) | Option for 1,000 shares was granted to reporting person's spouse pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 250 shares on each February 24, 2011 and January 1, 2012, 2013, and 2014. |
(17) | Option was granted for 5,000 shares pursuant to Northwest Natural Gas Company's Restated Stock Option Plan (the "Plan"). The option vests in installments of 1,250 shares on each February 23, 2012 and January 1, 2013, 2014 and 2015. |