Statement of Changes in Beneficial Ownership (4)
December 23 2019 - 3:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
MCGINNIS JOHN P |
2. Issuer Name and Ticker or Trading Symbol
NATIONAL FUEL GAS CO
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NFG
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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)
Pres - Seneca Resources |
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(Last)
(First)
(Middle)
1201 LOUISIANA STREET, SUITE 2600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/19/2019 |
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(Street)
HOUSTON, TX 77002
(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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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 12/19/2019 | | M | | 3264.00 | A | (1) | 36069.00 | D | |
| Common Stock | 12/19/2019 | | F | | 1285.00 (2) | D | $47.398 | 34784.00 | D | |
| Common Stock | 12/20/2019 | | M | | 2523.00 | A | (1) | 37307.00 | D | |
| Common Stock | 12/20/2019 | | F | | 993.00 (3) | D | $47.29 | 36314.00 | D | |
| Common Stock | | | | | | | | 9379.00 (4) | I | 401K Trust |
| Common Stock | | | | | | | | 47388.00 | I | By limited liability company (5) |
| Common Stock | | | | | | | | 2416.00 | I | By reporting person and spouse as trustees for child |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | 12/19/2019 | | M | | | 3264.00 | (6) | (6) | Common Stock | 3264.00 | $0.00 | 6529.00 | D | |
| Restricted Stock Units | (1) | 12/20/2019 | | M | | | 2523.00 | (7) | (7) | Common Stock | 2523.00 | $0.00 | 2523.00 | D | |
| Explanation of Responses: |
| (1) | Restricted stock units convert into common stock on a one-for-one basis. |
| (2) | On December 19, 2019, the reporting person had 1,285 shares withheld and cancelled to cover minimum required tax withholdings due to the vesting of restricted stock units. These share cancellations are shown on Table I as dispositions (Transaction Code "D" in Column 4), although none of these cancelled shares were sold into the market, as indicated by Transaction Code "F" in Column 3. |
| (3) | On December 20, 2019, the reporting person had 993 shares withheld and cancelled to cover minimum required tax withholdings due to the vesting of restricted stock units. These share cancellations are shown on Table I as dispositions (Transaction Code "D" in Column 4), although none of these cancelled shares were sold into the market, as indicated by Transaction Code "F" in Column 3. |
| (4) | The NFG stock fund under the NFG 401(k) plan is denominated in units, representing ownership interests in a fund that includes both NFG common stock and a reserve of cash. The information reported represents the dollar value of the reporting person's balance in the NFG stock fund as of December 20, 2019, as reported by the plan administrator, divided by the closing price of NFG common stock on that date. |
| (5) | The reporting person and his spouse are the sole members of the limited liability company. |
| (6) | On December 19, 2018, the reporting person was granted 9,793 restricted stock units, vesting as follows: 3,264 on December 19, 2019, 3,264 on December 19, 2020, and 3,265 on December 19, 2021. |
| (7) | On December 20, 2017, the reporting person was granted 7,569 restricted stock units, vesting as follows: 2,523 on December 20, 2018, 2,523 on December 20, 2019, and 2,523 on December 20, 2020. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
MCGINNIS JOHN P
1201 LOUISIANA STREET
SUITE 2600
HOUSTON, TX 77002 |
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| Pres - Seneca Resources |
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Signatures
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| J. P. Baetzhold, Attorney in Fact | | 12/23/2019 |
| **Signature of Reporting Person | Date |
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