FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/01/2018 |
3. Issuer Name and Ticker or Trading Symbol
EXELON CORP [ EXC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 0 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Unit Award (01/25/2016) | (1) | (1) | Common Stock | 3,711 | $0 | D | |
Restricted Stock Unit Award (01/30/2017 & 04/29/2017) | (2) | (2) | Common Stock | 7,473 | $0 | D | |
Restricted Stock Unit Award (01/29/2018) | (3) | (3) | Common Stock | 9,903 | $0 | D | |
Restricted Stock Unit Award (01/29/18) | (4) | (4) | Common Stock | 10,000 | $0 | D | |
NQ Stock Option (right to buy) 03/12/2012(5) | 03/12/2016 | 03/12/2022 | Common Stock | 16,000 | $39.81 | D | |
NQ Stock Option (right to buy) 01/24/2011(5) | 01/24/2015 | 01/24/2021 | Common Stock | 21,000 | $43.4 | D | |
NQ Stock Option (right to buy) 01/25/2010(5) | 01/25/2014 | 01/24/2020 | Common Stock | 8,300 | $46.09 | D | |
NQ Stock Option (right to buy) 01/26/2009(5) | 01/26/2013 | 01/26/2019 | Common Stock | 9,400 | $56.51 | D |
Explanation of Responses: |
1. Remaining 1/3 increment of annual restricted stock unit (RSU) award granted in 2016 pursuant to the Exelon Long Term Incentive Plan; each award vests in 1/3 increments on the date of the Compensation & Leadership Development Committee's January meeting in the first, second and third years after the award was granted. Award balances accrue addtional units through automatic dividend reinvestment, which vest on the same schedule as the underlying award. |
2. Remaining 2/3 increments of RSU awards granted in January 2017 and April 2017 pursuant to the Exelon Long Term Incentive Plan; each award vests in 1/3 increments on the date of the Compensation & Leadership Development Committee's January meeting in the first, second and third years after the award was granted. Award balances accrue addtional units through automatic dividend reinvestment, which vest on the same schedule as the underlying award. |
3. Annual RSU award granted in 2018 pursuant to the Exelon Long Term Incentive Plan; each award vests in 1/3 increments on the date of the Compensation & Leadership Development Committee's January meeting in the first, second and third years after the award was granted. Award balances accrue addtional units through automatic dividend reinvestment, which vest on the same schedule as the underlying award. |
4. RSU award granted in 2018 pursuant to the Exelon Long Term Incentive Plan. Award to cliff-vest on January 29, 2020. |
5. Fully-vested non-qualified employee stock option, awarded pursuant to the Exelon Long Term Incentive Plan. Each award vested in 1/4 increments on each of the first four anniversaries of the grant date, referenced in column 1. |
Remarks: |
Katherine A. Smith, Esq., Attorney-in-Fact for Joseph Dominguez | 08/01/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |