C James Shockley Jr Form 5 RGC RESOURCES / C James Shockley Jr ownership change

SEC Form 5

FORM 5

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Form 3 Holdings Reported.

Form 4 Transactions Reported.

1. Name and Address of Reporting Person^*

Shockley C James Jr

(Last) (First) (Middle)

P.O. BOX 13007

(Street)

ROANOKE VA 24030

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
RGC RESOURCES INC [ RGCO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP, Operations

3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
09/30/2018

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)	4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
				Amount	(A) or (D)	Price
Common Stock	02/01/2018		A(1)	2.822	A	$23.92	5,533.577	D
Common Stock	02/01/2018		A(2)	7.622	A	$23.92	5,541.199	D
Common Stock	05/01/2018		A(3)	2.555	A	$26.43	5,543.754	D
Common Stock	05/01/2018		A(4)	6.942	A	$26.43	5,550.696	D
Common Stock	08/01/2018		A(5)	2.335	A	$28.94	5,553.031	D
Common Stock	08/01/2018		A(6)	6.377	A	$28.94	5,559.408	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
					(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Non-Qualified Stock Option	$12.633						06/06/2014	12/06/2023	Common Stock	4,500		4,500	D
Non-Qualified Stock Option	$14.4						06/04/2015	12/04/2024	Common Stock	4,500		4,500	D
Non-Qualified Stock Option	$14.147						06/03/2016	12/03/2025	Common Stock	4,500		4,500	D
Non-Qualified Stock Option	$16.367						06/08/2017	12/08/2026	Common Stock	4,500		4,500	D

Explanation of Responses:

1. Shares purchased 02/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.

2. Restricted shares purchased 02/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.

3. Shares purchased 05/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.

4. Restricted shares purchased 05/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.

5. Shares purchased 08/01/2018 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment and Stock Purchase Plan.

6. Restricted shares purchased 08/01/2018 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.

	C. James Shockley, Jr.	10/10/2018
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.