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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 | ||||||||
Restricted Stock Unit | (3) | 10/01/2013 | M | 24,000 | (4) | (4) | Common Stock | 24,000 | $ 0 | 99,377 | D | ||||
Phantom Stock Units | (5) | (6) | (6) | Common Stock | 3,051.76 | 3,051.76 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BEST ROBERT W 5430 LBJ FREEWAY 1800 III LINCOLN CENTRE DALLAS, TX 75240 |
X | Chairman of the Board |
/s/Suzanne Johnson by POA | 10/03/2013 | |
**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) | Shares withheld pursuant to a tax withholding obligation under the Atmos Energy Corporation 1998 Long-Term Incentive Plan (the "Plan") in a transaction exempt under Rule 16b-3. |
(2) | To update end of period holdings as of May 31, 2013 under the Atmos Energy Corporation Retirement Savings Plan and Trust. |
(3) | Each restricted stock unit represents a contingent right to receive one share of ATO common stock. |
(4) | Shares of ATO common stock issued upon vesting of restricted stock units typically are delivered to the reporting person three years from date of grant. However, in compliance with Internal Revenue Code section 409A, these shares were instead issued following a period of six months after the reporting person's date of retirement. |
(5) | Each phantom stock unit is equivalent to one share of the Company's common stock. |
(6) | The phantom stock units were awarded under the Plan and are to be settled upon the reporting person's termination of service on the Company's Board. |
(7) | Includes 51.76 phantom stock units resulting from dividend equivalents converted to phantom stock units, which have been credited to the reporting person's account since April 3, 2013. |