Annual Statement of Changes in Beneficial Ownership (5)
23 Januar 2017 - 07:39PM
Edgar (US Regulatory)
FORM 5
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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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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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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
*
Von Hoene William A. Jr.
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2. Issuer Name
and
Ticker or Trading Symbol
EXELON CORP [EXC]
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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)
Sr. Executive Vice President
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(Last)
(First)
(Middle)
10 SOUTH DEARBORN STREET, 54TH FLOOR
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2016
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(Street)
CHICAGO, IL 60603
(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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Amount
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(A) or (D)
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Price
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Common Stock
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90771
(1)
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D
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Table II - Derivative Securities Acquired, Disposed of, or 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
(MM/DD/YYYY)
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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 at End of Issuer's Fiscal Year
(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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(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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Restricted Stock Unit Awards
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$0
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(2)
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(2)
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Common Stock
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57171
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57171
(3)
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D
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Restricted Stock Unit Grant 10/21/2013
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$0
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(4)
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(4)
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Common Stock
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20000
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20000
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D
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Deferred Compensation Equivalent Shares
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$0
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(5)
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(5)
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Common Stock
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3232
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3232
(6)
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D
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NQ Stock Option 03/12/2012
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$39.81
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(7)
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(7)
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Common Stock
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88000
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88000
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D
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NQ Stock Option 01/24/2011
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$43.4
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(7)
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(7)
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Common Stock
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67000
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67000
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D
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NQ Stock Option 01/25/2010
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$46.09
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(7)
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(7)
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Common Stock
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33000
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33000
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D
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NQ Stock Option 01/26/2009
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$56.51
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(7)
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(7)
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Common Stock
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25200
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25200
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D
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NQ Stock Option 01/28/2008
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$73.29
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(7)
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(7)
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Common Stock
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19000
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19000
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D
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NQ Stock Option 01/22/2007
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$59.96
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(7)
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(7)
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Common Stock
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19000
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19000
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D
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Explanation of Responses:
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(
1)
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Balance includes the following shares acquired through dividend reinvestment: 795, 809, 812 and 845 shares acquired on March 10, 2016, June 10, 2016, September 9, 2016 and December 9, 2016 respectively.
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(
2)
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Restricted stock unit awards made pursuant to the Exelon Long Term Incentive Plan. Share awards are made annually in January at the Compensation and Leadership Development committee's meeting and vest in 1/3 increments on the date of the committee's January meeting in the first, second and third years after the award was made.
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(
3)
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Balance consists of unvested shares remaining from the awards granted in January of the previous three years along with reinvested dividends as follows: 453, 511, 534 and 516 shares acquired on March 10, 2016, June 10, 2016, September 9, 2016 and December 9, 2016 respectively.
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(
4)
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Restricted stock grant made pursuant to the Exelon Long Term Incentive Plan. 100% of the shares will vest on October 21, 2018.
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(
5)
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Phantom share equivalents representing units held in the Exelon stock fund in a multi-fund, non-qualified deferred compensation plan. The Exelon stock fund is a unitized fund that consists of Exelon common stock and short term investments. Units of the fund will be settled upon the reporting person's separation from the board for any reason. Units will be settled in cash. Units are acquired through regular periodic contributions, company matching contributions and the reinvestment of dividend equivalents. The balance of phantom share equivalents may fluctuate from time to time due to fluctuations in the fund composition.
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(
6)
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Balance inlcudes 31, 28, 28 and 33 share equivalents accrued on February 10, 2016, May 11, 2016, August 13, 2016 and November 9, 2016 thorugh automatic dividend reinvestment.
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(
7)
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Non qualified employee stock options, awarded pursuant to the Exelon Long Term Incentive Plan. Options vest in 1/4 increments on each of the first four anniversaries of the grant date, referenced in column one, and expire on the tenth anniversay of the grant date.
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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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Von Hoene William A. Jr.
10 SOUTH DEARBORN STREET
54TH FLOOR
CHICAGO, IL 60603
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Sr. Executive Vice President
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Signatures
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Scott N. Peters, Esq. Attorney in Fact for William A. Von Hoene, Jr.
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1/20/2017
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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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