SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol FIRSTENERGY CORP [ FE ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 02/07/2020 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 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 Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 33,493.271(1) | D | ||||||||
| Common Stock | 5,114.232(2) | I | By Savings Plan | |||||||
| Common Stock | 47.323(3) | I | By Spouse | |||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| RSUS17 | (4) | 02/07/2020 | A | 5,284.985(5) | 03/01/2020 | 03/01/2020 | Common Stock | 5,284.985 | $0 | 5,284.985(5) | D | ||||
| RSUC17 | (4) | 02/07/2020 | A | 2,590.3(5) | 03/01/2020 | 03/01/2020 | Common Stock | 2,590.3 | $0 | 2,590.3(5) | D | ||||
| Phantom 3/07D | (4) | (6) | (6) | Common Stock | 150.741 | 150.741(7) | D | ||||||||
| Phantom 3/14D | (4) | (6) | (6) | Common Stock | 334.817 | 334.817(7) | D | ||||||||
| Phantom 3/15D | (4) | (6) | (6) | Common Stock | 733.215 | 733.215(7) | D | ||||||||
| Phantom 3/16D | (4) | (6) | (6) | Common Stock | 3,023.307 | 3,023.307(7) | D | ||||||||
| Explanation of Responses: |
| 1. Balance includes restricted stock and shares acquired through dividend reinvestment. |
| 2. FE's 401(k) Savings Plan includes a unitized fund invested in FE stock, in which the reporting person may invest, and includes dividend reinvestment and company match features. The number of shares reported as indirectly held in the 401(k) Plan in this row is an estimate of the number of shares of FE's common stock held in the unitized stock fund and allocated to the reporting person's account as of December 31, 2019. |
| 3. Balance includes shares acquired through dividend reinvestment. |
| 4. 1 for 1 |
| 5. The Board approved performance results for the performance-adjusted stock based restricted stock unit grant (RSUS17) and the performance-adjusted cash based restricted stock unit grant (RSUC17) made in 2017 for the 2017-2019 performance cycle, and these awards will vest on March 1, 2020. |
| 6. This holding reflects phantom stock payable in cash upon retirement or other termination of employment under the FirstEnergy Corp. Amended and Restated Executive Deferred Compensation Plan. Each share of phantom stock is the economic equivalent of one share of common stock. |
| 7. Includes stock units acquired through dividend reinvestment. |
| Remarks: |
| Exhibit 24: Power of Attorney (attached) |
| Daniel M. Dunlap, attorney-in-fact | 02/10/2020 | |
| ** 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. | ||