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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Performance Shares - Stock Units | Â | Â | Â | Â | Â | Â | Â (4) | Â (4) | Common Stock | Â | 99,124 (5) | Â | ||
Deferred Comp. - Phantom Shares | Â | Â | Â | Â | Â | Â | Â (6) | Â (6) | Common Stock | Â | 34,077 (7) | Â | ||
NQ Stock Options 01/02/2002 | $ 33.94 | Â | Â | Â | Â | Â | Â (8) | Â (8) | Common Stock | Â | 192,444 | Â | ||
NQ Stock Options 01/27/2003 | $ 24.805 | Â | Â | Â | Â | Â | Â (9) | Â (8) | Common Stock | Â | 400,000 | Â | ||
NQ Stock Options 01/26/2004 | $ 32.54 | Â | Â | Â | Â | Â | Â (9) | Â (9) | Common Stock | Â | 350,000 | Â | ||
NQ Stock Options 01/24/2005 | $ 42.85 | Â | Â | Â | Â | Â | Â (9) | Â (9) | Common Stock | Â | 400,000 | Â | ||
NQ Stock Options 01/23/2006 | $ 58.55 | Â | Â | Â | Â | Â | Â (9) | Â (9) | Common Stock | Â | 229,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROWE JOHN W 10 SOUTH DEARBORN STREET 37TH FLOOR CHICAGO, IL 60603 |
 |  |  Chairman, President and CEO |  |
John W. Rowe | 01/17/2007 | |
**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) | Balance includes 3,618 shares acquired through the Employee Stock Purchase Plan. |
(2) | Balance includes 1,957 shares acquired on 03/10/06, 1,872 shares on 06/12/06, 1,875 shares on 09/10/06 and 1,807 shares on 12/11/2006 through the automatic dividend reinvestment feature of Exelon plans. |
(3) | Shares held as of 12/31/2006 in a multi-fund 401(k) Plan to be settled in cash upon the reporting person's termination of employment for any reason on a 1:1 basis. Shares are acquired through regular periodic contributions, company matching contributions, and the automatic reinvestment of dividends. |
(4) | Performance Shares awarded pursuant to the Exelon Long Term Incentive Plan. 1/3 of the shares awarded vest immediately upon receipt. The remaining shares vest in 1/3 increments on each of the second and third anniversaries of the award date. Under certain circumstances some or all of the vested shares may be settled in cash on a 1 for 1 basis based on the cash value of the underlying stock on the date of vesting. |
(5) | Balance includes 692 shares acquired on 03/10/06, 662 shares on 06/12/06, 663 shares on 09/10/06 and 638 shares on 12/11/2006 through the automatic dividend reinvestment feature of Exelon plans. |
(6) | Phantom shares held in a multi-fund deferred compensation plan to be settled for cash upon the reporting person's termination of employment for any reason on a 1:1 basis. Shares are acquired through regular periodic contributions, company matching contributions, and the automatic reinvestment of dividends. |
(7) | Balance includes 233 shares acquired on 03/10/06, 226 shares on 06/12/06, 226 shares on 09/10/06 and 218 shares on 12/11/2006 through the automatic dividend reinvestment feature of Exelon plans. |
(8) | Non qualified employee stock options, awarded pursuant to the Exelon Long Term Incentive Plan. Options vest in 1/3 increments on each of the first three anniversaries of the grant date, referenced in column one, and expire on the tenth anniversay of the grant date. |
(9) | Non qualified employee stock options, awarded pursuant to the Exelon Long Term Incentive Plan. Options vest in 1/4 increments on each of the first four anniversaries of the grant date, referenced in column one, and expire on the tenth anniversay of the grant date. |