EX-99 61 0061.txt ITEM 6 PART III SUPPLEMENTAL INFORMATION EXHIBIT F-15 ITEM 6. PART III - SUPPLEMENTAL INFORMATION REGARDING COMPENSATION AND SECURITY OWNERSHIP OF OFFICERS AND DIRECTORS OF SYSTEM COMPANIES (B) SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT CINERGY (INCLUDING INVESTMENTS, GLOBAL RESOURCES, AND SERVICES) The beneficial ownership of Cinergy's common stock held by each nominee, continuing director, and named executive officer, including those of Investments and subsidiaries (as identified on pages xx-xx of this Annual Report on Form U5S (U5S)) and of units equal to one share of Cinergy's common stock paid as compensation to non-employee directors, as of February 29, 2000, is set forth in the following table. AMOUNT AND NATURE NAME OF BENEFICIAL OWNER (1) OF BENEFICIAL OWNERSHIP (2) ---------------------------- --------------------------- Neil A. Armstrong 13,250 shares James K. Baker 26,105 shares Michael G. Browning 111,920 shares Phillip R. Cox 73,188 shares Michael J. Cyrus 108,059 shares William J. Grealis 233,373 shares John A. Hillenbrand II 76,264 shares George C. Juilfs 36,396 shares Melvin Perelman 27,032 shares Thomas E. Petry 54,792 shares Jackson H. Randolph 267,726 shares James E. Rogers 736,553 shares Mary L. Schapiro 8,543 shares John J. Schiff, Jr. 61,617 shares (3) Philip R. Sharp 35,175 shares Dudley S. Taft 19,500 shares Larry E. Thomas 253,982 shares Oliver W. Waddell 37,899 shares All directors and executive officers as a group 3,460,597 shares (2) (representing 2.18% of the class) ------------------- (1) No individual listed beneficially owned more than 0.464% of the outstanding shares of Cinergy's common stock. ITEM 6. PART III - SUPPLEMENTAL INFORMATION REGARDING COMPENSATION AND SECURITY OWNERSHIP OF OFFICERS AND DIRECTORS OF SYSTEM COMPANIES (CONTINUED) (2) Includes shares which there is a right to acquire within 60 days pursuant to the exercise of stock options in the following amounts: Mr. Armstrong-12,500; Mr. Baker-12,500; Mr. Browning-25,287; Mr. Cox-12,500; Mr. Grealis-113,937; Mr. Hillenbrand-12,500; Mr. Juilfs-12,500; Dr. Perelman-12,500; Mr. Petry-12,500; Mr. Randolph-141,258; Mr. Rogers-461,029; Ms. Schapiro-2,500; Mr. Schiff-12,500; Dr. Sharp-10,000; Mr. Taft-12,500; Mr. Thomas-62,516; and all directors and executive officers as a group-1,478,814. Does not include units representing shares of Cinergy common stock credited under Cinergy's Retirement Plan for Directors, Directors' Equity Compensation Plan and/or Directors' Deferred Compensation Plan in the following amounts: Mr. Armstrong-14,579; Mr. Baker-18,580; Mr. Browning-19,625; Mr. Cox-4,509; Mr. Hillenbrand-13,365; Mr. Juilfs-11,969; Dr. Perelman-24,543; Mr. Petry-9,555; Ms. Schapiro-1,172; Mr. Schiff-9,251; Dr. Sharp-3,930; Mr. Taft-9,971; and Mr. Waddell-8,451. (3) Includes 15,000 shares owned of record by a trust of which Mr. Schiff is one of three trustees who share voting and investment power equally. Does not include 1,791,000 shares, as to which Mr. Schiff disclaims any beneficial interest, held by Cincinnati Financial Corporation and certain of its subsidiaries. CG&E (INCLUDING SUBSIDIARIES) CG&E's (and subsidiaries') directors and executive officers (as identified on pages 17-49 of this U5S) did not beneficially own any shares of any series of the class of CG&E's cumulative preferred stock as of February 29, 2000. The beneficial ownership of the outstanding shares of Cinergy's common stock held by each director and named executive officer as of February 29, 2000, is set forth in the following table. AMOUNT AND NATURE NAME OF BENEFICIAL OWNER (1) OF BENEFICIAL OWNERSHIP (2) ---------------------------- --------------------------- Michael J. Cyrus 108,059 shares William J. Grealis 233,373 shares Jackson H. Randolph 267,726 shares James E. Rogers 736,553 shares Larry E. Thomas 253,982 shares James L. Turner 10,880 shares All directors and executive officers as a group 2,112,721 shares (2) (representing 1.33% of the class) ------------------ (1) No individual listed beneficially owned more than 0.464% of the outstanding shares of Cinergy's common stock. (2) Includes shares which there is a right to acquire within 60 days pursuant to the exercise of stock options in the following amounts: Mr. Grealis-113,937; Mr. Randolph-141,258; Mr. Rogers-461,029; Mr. Thomas-100,916; Mr. Turner-2,300; and all directors and executive officers as a group-1,012,169. PSI (INCLUDING SUBSIDIARIES) PSI's (and its sole subsidiary) director-nominees and named executive officers (as identified on pages 17-49 of this U5S) did not beneficially own any shares of any series of the class of PSI's cumulative preferred stock as of February 29, 2000. The beneficial ownership of the outstanding shares of Cinergy's common stock held by each director-nominee and named executive officer, and of units equal to one share of Cinergy common stock paid as compensation to non-employee directors of Cinergy, as of February 29, 2000, is set forth in the following table. AMOUNT AND NATURE NAME OF BENEFICIAL OWNER (1) OF BENEFICIAL OWNERSHIP (2) ---------------------------- --------------------------- James K. Baker 26,105 shares Michael G. Browning 111,920 shares Michael J. Cyrus 108,059 shares William J. Grealis 233,376 shares John A. Hillenbrand II 76,264 shares Jackson H. Randolph 267,726 shares James E. Rogers 736,553 shares Larry E. Thomas 253,982 shares All directors and executive officers as a group 2,224,908 shares (2) (representing 1.40% of the class) ------------------- (1) No individual listed beneficially owned more than 0.464% of the outstanding shares of Cinergy's common stock. (2) Includes shares which there is a right to acquire within 60 days pursuant to the exercise of stock options in the following amounts: Mr. Baker-12,500; Mr. Browning-25,287; Mr. Hillenbrand-12,500; Mr. Randolph-141,258; Mr. Rogers-461,029; Mr. Thomas-100,916; and all directors and executive officers as a group-1,010,073. Does not include units representing shares of Cinergy common stock credited under Cinergy's Retirement plan for Directors, Directors' Equity Compensation Plan and/or Directors' Deferred Compensation Plan in the following amounts: Mr. Baker-18,580; Mr. Browning-19,625; and Mr. Hillenbrand-13,365.