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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 | ||||||||
Phantom Stock Units | (3) | 11/14/2012 | A | 731 | (4) | (4) | Common Stock | 731 | $ 41.755 | 4,133.382 | I | By State Street | |||
Phantom Stock Units | (3) | 11/15/2012 | A | 490 | (4) | (4) | Common Stock | 490 | $ 41.0366 | 4,623.382 | I | By State Street | |||
Phantom Stock | (5) | (6) | (6) | Common Stock | 7,604.454 | 7,604.454 | D | ||||||||
Phantom Stock Units | (3) | (7) | (7) | Common Stock | 15,426.529 | 15,426.529 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSON JULIA L 76 SOUTH MAIN ST AKRON, OH 44308 |
X |
Edward J. Udovich, POA | 11/16/2012 | |
**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) | Share balance that, through administrative error, was incorrectly reflected on Form 4 dated 8/14/12 has been revised. |
(2) | Upon completion of the merger pursuant to which Element Merger Sub, Inc., a wholly owned subsidiary of FirstEnergy Corp. ("FirstEnergy"), merged with and into Allegheny Energy, Inc. ("Allegheny Energy") with Allegheny Energy becoming a wholly owned subsidiary of FirstEnergy (the "Merger"), FirstEnergy issued to Allegheny Energy stockholders 0.667 of a share of FirstEnergy common stock for each share of Allegheny Energy common stock held prior to the merger. On the effective date of the Merger, the closing price of FirstEnergy's common stock was $37.75. |
(3) | 1 for 1 |
(4) | In accordance with the terms and conditions of the FirstEnergy Corp. Compensation Plan for Outside Directors. |
(5) | Each share of phantom stock is the economic equivalent of one share of FirstEnergy Corp. common stock. |
(6) | The phantom stock units were converted upon the FirstEnergy Corp./Allegheny Energy, Inc. merger based on an exchange ratio of 0.667 of a share of FirstEnergy Corp. common stock for each share of Allegheny Enercy, Inc. common stock and are payable in cash upon separation/termination from FirstEnergy Corp. Board. |
(7) | Represents shares underlying deferred share units deferred under the Allegheny Energy, Inc. Amended and Restated Revised Plan for Deferral of Compensation of Directors. |