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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 | ||||||||
Non Qualified Stock Option | $ 10.7 | 09/25/2007 | X | 11,100 | 11/03/1998 | 11/03/2007 | Common Stock | 11,100 (3) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHOENBERGER ROBERT G 6 LIBERTY LANE WEST HAMPTON, NH 03842 |
X | Chairman and CEO |
/s/ Robert G. Schoenberger | 09/25/2007 | |
**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) | Unitil Corporation (the "Company") has advised Mr. Schoenberger of (i) his obligation to disgorge any and all profits realized from his sales of the Company's common stock within a period of less than six months of May 7, 2007, the date on which Mr. Schoenberger purchased 1,000 shares of the Company's common stock and (ii) the Company's intent to recover any and all such profits. Mr. Schoenberger is aware of this obligation and has agreed to promptly disgorge any and all such profits. |
(2) | Shares are held in trust under the terms of the Unitil Corporation Tax Deferred Savings and Investment Plan. |
(3) | Options were granted and exercised under the terms and conditions of the Unitil Corporation Key Employee Stock Option Plan. |