DPL LLC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-05-03: Reporting owner BIGGS ROBERT D; Form 4; Security Employee stock option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-16: Reporting owner BIGGS ROBERT D; Form 4; Security Employee stock option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-05-10: Reporting owner BIGGS ROBERT D; Form 4; Security DPL Inc. Stock Option (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2007-05-09: Reporting owner BIGGS ROBERT D; Form 4; Security DPL Inc. Stock Option (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-05-03 | BIGGS ROBERT D Director | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 0 owned after | $20.94 exercise price | 2011-05-05 | |
| 2009-11-16 | BIGGS ROBERT D Director | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 75,000 owned after | $20.94 exercise price | 2009-11-18 | |
| 2007-05-10 | BIGGS ROBERT D Director | 4 | DPL Inc. Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −52,200 200,000 owned after | $26.82 | 2007-05-11 | |
| 2007-05-09 | BIGGS ROBERT D Director | 4 | DPL Inc. Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −53,600 252,200 owned after | $26.82 | 2007-05-10 | |
| 2007-05-08 | BIGGS ROBERT D Director | 4 | DPL Inc. Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −104,900 305,800 owned after | $26.82 | 2007-05-10 | |
| 2007-04-04 | BIGGS ROBERT D Director | 4 | DPL Inc. Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −139,300 410,700 owned after | $26.82 | 2007-04-05 | |
| 2007-04-04 holding as of filing | Kelly Scott J Officer (Vice President, Operations) | 3 | DPL Inc. Stock Option (right to buy) Derivative · Direct | Holding | $29.63 exercise price | 2007-04-04 |