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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 | ||||||||
Performance Shares | $ 0 | 11/10/2015 | D | 9,264.468 | 11/10/2015 | 11/10/2015 | Performance Shares | 9,264.468 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOWNES LAURENCE M C/O NEW JERSEY RESOURCES CORPORATION 1415 WYCKOFF ROAD WALL, NJ 07719 |
X | Chairman, President & CEO |
Rhonda M. Figueroa - Attorney-in-Fact (POA on File) | 11/13/2015 | |
**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) | The performance-based restricted shares previously reported and granted on 12/19/13 are forfeited due to the applicable performance goal for the fiscal year ending September 30, 2015, not being met. |
(2) | Total reflects a two for one stock split on March 3, 2015. |
(3) | Total includes shares held in the New Jersey Resources Corporation (NJR) Employee Stock Ownership Plan, which include reinvested dividends through the NJR Dividend Reinvestment Plan (DRP). |
(4) | Total includes an accrual of 280 shares of New Jersey Resources Corporation (NJR) Common Stock through the NJR Dividend Reinvestment Plan (DRP). |
(5) | Represents number of shares, which vested at 120% of the target (plus accrued dividends) after a 33-month period beginning on January 1, 2013, upon certification by the Leadership Development and Compensation Committee of New Jersey Resources Corporation's (NJR) performance versus the applicable performance goals. Performance shares converted 1 for 1 into shares of NJR Common Stock. There is no purchase or sale price upon vesting of the Performance Shares. |
(6) | Total includes an accrual of 5602.710 shares of New Jersey Resources Corporation (NJR) Common Stock through the NJR Dividend Reinvestment Plan (DRP). |