-----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, OwIct+TLX1ZRFvTsnQrWmzQIxPiVhd+TQsfv+C2e1cIwW3uku6aZaWwQgEYcB09v 9hbdPNKC0I5qVdO0bJJvag== 0000950134-03-002690.txt : 20030218 0000950134-03-002690.hdr.sgml : 20030217 20030218124041 ACCESSION NUMBER: 0000950134-03-002690 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030214 FILED AS OF DATE: 20030218 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: MOUG KEVIN G CENTRAL INDEX KEY: 0001191492 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: 215 S CASCADE ST CITY: FERGUS FALLS STATE: MN ZIP: 56537 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OTTER TAIL CORP CENTRAL INDEX KEY: 0000075129 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 410462685 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00368 FILM NUMBER: 03570565 BUSINESS ADDRESS: STREET 1: 215 S CASCADE ST STREET 2: PO BOX 496 CITY: FERGUS FALLS STATE: MN ZIP: 56538-0496 BUSINESS PHONE: 2187398200 MAIL ADDRESS: STREET 1: 215 S CASCADE ST STREET 2: P O BOX 496 CITY: FERGUS FALLS STATE: MN ZIP: 56538-0496 FORMER COMPANY: FORMER CONFORMED NAME: OTTER TAIL POWER CO DATE OF NAME CHANGE: 19920703 4 1 c74888e4.htm FORM 4 e4
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 4

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

o 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*
(Last, First, Middle)
2. Issuer Name and Ticker or
Trading Symbol
3. I.R.S. Identification Number of Reporting
Person, if an entity
(Voluntary)
  MOUG, KEVIN G
  OTTER TAIL CORPORATION OTTR
 
  215 S CASCADE ST
4. Statement for (Month/Day/Year) 5. If Amendment, Date of Original (Month/Day/Year)
    02-14-03
 
  (Street) 6. Relationship of Reporting Person(s) to Issuer (Check All Applicable) 7. Individual or Joint/Group Filing
(Check Applicable Line)
  FERGUS FALLS, MN 56537-2801
(City)                (State)           (Zip)
  o  Director o  10% Owner   x Form filed by One Reporting Person
    x  Officer (give title below)   o Form filed by More than One Reporting Person
    o  Other (specify below)  
        CFO & TREASURER
     

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).
 

 


 


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
Following Reported
Transactions(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             702.5837     D   (a)

  COMMON STOCK   02-14-03       10   D     553.405     D   (b)

  COMMON STOCK               6,900     D   {c}

  COMMON STOCK   02-14-03     G   5   A     5     I   (d)

  COMMON STOCK   02-14-03     G   5   A     5     I   (d)

  COMMON STOCK               177.0406     I   (e)

                     

                   

                   

                   

Page 2


 


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)

                      Code V   (A) (D)

  STOCK OPTIONS (RIGHT TO BUY)   $19.1875          

  STOCK OPTIONS (RIGHT TO BUY)   $19.75          

  STOCK OPTIONS (RIGHT TO BUY)   $26.25          

             

             

             

             

             

             

             

Page 3


 


Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)

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)

  Date
Exercisable
Expiration
Date
  Title Amount or
Number of
Shares
                       

  02-22-09   COMMON STOCK         5,000     D  

  04-09-10   COMMON STOCK         9,750     D  

  04-08-11   COMMON STOCK         25,000     D  

                 

                 

                 

                 

                 

                 

                 

Explanation of Responses:

a. THESE SHARES ARE HELD JOINTLY WITH HIS WIFE IN "STREET NAME" THROUGH EDWARD D JONES AND THE DIVIDENDS ACQUIRED ARE REINVESTED.

b. SHARES ACQUIRED AND HELD UNDER THE EMPLOYEE STOCK PURCHASE PLAN AS OF DECEMBER 31, 2002, INCLUDING SHARES ACQUIRED UPON REINVESTMENT OF DIVIDENDS PAID ON SHARES HELD IN THE PLAN. ON 2-14-03, 10 SHARES WERE TRANSFERRED TO HIS TWO DAUGHTERS.

c. SHARES ACQUIRED AND HELD UNDER THE CORPORATION'S STOCK INCENTIVE PLAN, WHICH IS A GRANT OF RESTRICTED STOCK. THE SHARES VEST ON AN ANNUAL BASIS OF 25% PER YEAR BEGINNING APRIL 8, 2003.

d. THE FIVE SHARES WERE TRANSFERRED FROM MR. MOUG'S EMPLOYEE STOCK PURCHASE PLAN SHARES AND THE DIVIDENDS ACQUIRED ARE REINVESTED.

e. SHARES HELD IN THE CORPORATION’S EMPLOYEE STOCK OWNERSHIP PLAN AS OF DECEMBER 31, 2002.

/S/ KEVIN G MOUG
BY CATHY L. FOGALE - POA
  2/17/03

**Signature of Reporting Person
 
Date


**   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.
 

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