-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OLegJguLig0H5yF+O/E6Z9GnM5C/Q3ApT0AJwZ5tW/q5Ybi5nfkgykClOpmReXgg eImqWMD/rLM9zjT6T07qyQ== 0000715957-97-000020.txt : 19970227 0000715957-97-000020.hdr.sgml : 19970227 ACCESSION NUMBER: 0000715957-97-000020 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970226 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOMINION RESOURCES INC /VA/ CENTRAL INDEX KEY: 0000715957 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 541229715 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08489 FILM NUMBER: 97543545 BUSINESS ADDRESS: STREET 1: 901 E BYRD ST, WEST TOWER STREET 2: P O BOX 26532 CITY: RICHMOND STATE: VA ZIP: 23219 BUSINESS PHONE: 8047755700 MAIL ADDRESS: STREET 1: P O BOX 26532 STREET 2: 901 EAST BYRD STREET CITY: RICHMOND STATE: VA ZIP: 23261 COMPANY DATA: COMPANY CONFORMED NAME: CAPPS THOS E CENTRAL INDEX KEY: 0001004537 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] DIRECTOR STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: P O BOX 26532 CITY: RICHMOND STATE: VA ZIP: 23261 BUSINESS PHONE: 8047755700 MAIL ADDRESS: STREET 1: P O BOX 26532 CITY: RICHOMOND STATE: VA ZIP: 23261 5 1
- ---------------- U.S. SECURITIES AND EXCHANGED COMMISION ---------------------------- |F O R M 5| Washington, D.C. 20549 | OMB APPROVAL | - ---------------- |--------------------------| Check this box if ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0362| [ ] no longer Subject |Expires: September 30,1998| to Section 16. |Estimated ave. burden | |hours per response.....1.0| [ ] Form 3 Holdings Rep. Filed pursuant to Section 16(a) of the Securities Exchanged Act of 1934, ---------------------------- Section 17(a) of the Public Utility Holding Company Act of 1935 or [ ] Form 4 Trans. Rep. Section 30(f) of the Investment Company Act 1940 - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | |Capps Thos. E |DOMINION RESOURCES, INC. (D ) | | | | | X Director 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS or Soc. Sec. No. |4.Statement for Month/ | X Officer Other | | | of Reporting Person | Year |---(give title below) ---(Specify below)| | Dominion Resources, Inc. | (Voluntary) | | | | 901 E. Byrd St, 17th Floor | | 12/31/1996 | Chairman of the Board, Presi- | | | | | dent and Chief Exec. Officer | |----------------------------------------| |------------------------|----------------------------------------| | (Street) | |5.If Amendment, Date of |7. Individual or Joint/Group Filing | | | ###-##-#### | Original (Month/Year) | (Check Applicable Line) | | | | | | |Richmond VA 23219 | | | X Form filed by One Reporting Person | | | | |--- | | | | | Form filed by More than One | | | | |--- Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |----------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans. |4.Security Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Own.| Beneficial | | |(Mon/Day/Yr)|(Instr.8)| (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | | | | Owned at End of|(D) | (Instr. 4) | | | | |-------------------------------| Issuer's |or | | | | | | |(A) | | Fiscal Year |(I) | | | | | | Amount |(D) | Price | (Instr. 3 & 4) | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | |Common Stock | | R | 1596.9759 | A | $.0000| | | | | | (01) | | | | (01)| | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 12/20/1996 | J | 7500 | A | $.0000| | | | | | | (02) | | | (02)| | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| |Common Stock | 12/20/1996 | J | 9722 | D | $.0000| 38710.7299 | D | | | (03) | | (04) | | | (04)| |(03)| | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| |Common Stock | | J | 1174 | A | $.0000| 12756 | I |By Trustee of E | | | (05) | (05) | | | (05)| | |mp. Savings Pl. | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 2270 (7-96) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). PAGE: 1 OF 3
FORM 5 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible security) - ------------------------------------------------------------------------------------------------------------------------------------ |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans| saction| Derivative |Exercisable| of Underlying |Derivative| of |Own.| of | |Security |Exercise |Date | Code | Securities |and | Securities |Security |Derivative|Form|Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or |Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- | Day/| | Disposed of (D) |Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4 & 5) |(Month/Day/| | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-----------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Year |or | | | | | | |---------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | | | (A) | (D) |Exbl.|Date | |Shares | | |(I) | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (01) Acquired through the normal reinvestment feature of the Dominion Resources, Inc. Dominion Direct Investment Plan during the second, third and fourth quarters of 1996 at prices ranging from $37.25 to $42.625 per share. (02) Shares of Restricted Stock awarded under the Dominion Resources, Inc. Long-term Incentive Plan (the "Plan") in an exempt transaction under rule 16b-3. These shares of Restricted Stock will remain restricted until the earlier of Mr. Capps' retirement or December 31, 2001. The actual number of shares that will vest to Mr. Capps will range from 5 0% to 100% of the Restricted Stock granted under the terms of the Plan. (03) Mr. Capps will no longer report the shares of Dominion Resources Common Stock held by his adult daughters, who no longer live in his home. (04) These shares of Restricted Stock were part of an overall award of 10,600 shares of Restricted Stock awarded to Mr. Capps under the Plan on February 25, 1994, in a transaction exempt under Rule 16b-3. The shares being reported as disposed **Intentional misstatements or omissions of facts constitute Federal /s/Thos. E. Capps 02/25/1997 Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------------------ ---------- **Signature of Reporting Person Date Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. SEC 2270 (7-96) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMD Number Capps, Thos. DOMINION RESOURCES, INC. 12/31/1996 PAGE: 2 OF 3
E X P L A N A T I O N O F R E S P O N S E S (cont.) F O R M 5 cont. (04) of have been forfeited and returned to Dominion Resources, Inc. (the "Company") pursuant to the provisions of the Restricted Stock Award Agreement between Mr. Capps and the Company, which Agreement was made pursuant to and subject to the provisions of the Plan. This disposition is also an exempt transaction under Rule 16b-3. (05) Shares acquired by the Dominion Resources, Inc. Employee Savings Plan (a Rule 16b-3 Plan) between January 1 and December 31, 1996, at prices ranging from $35.56to $41.25 per share in transactions exempt under rule 16b-3. Capps, Thos. DOMINION RESOURCES, INC. 12/31/1996 PAGE: 3 OF 3
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