FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/01/2003 |
3. Issuer Name and Ticker or Trading Symbol
PPL CORP [ PPL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9,360.247(1) | D | |
Common Stock | 2,277.554 | I | See Footnote(2) |
Common Stock | 880.099(1) | I | See Footnote(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (Right to Buy) | (4) | 01/24/2011 | Common Stock | 14,050 | $43.1562 | D | |
Employee Stock Options (Right to Buy) | (5) | 01/23/2012 | Common Stock | 11,980 | $33.49 | D | |
Employee Stock Options (Right to Buy) | (6) | 01/21/2013 | Common Stock | 11,990 | $36.23 | D | |
Stock Unit (ICPKE) | (7) | (7) | Common Stock | 1,600 | (7) | D |
Explanation of Responses: |
1. Total includes reinvestment of dividends under Dividend Reinvestment Plan. |
2. Held in trust pursuant to Employee Stock Ownership Plan. |
3. As custodian for daughter under Uniform Gifts to Minors Act, held in Dividend Reinvestment Plan. |
4. The total grant of 14,050 options vests in three installments: 4,684 on 01/25/2002, 4,683 on 01/25/2003 and 4,683 on 01/25/2004. |
5. The total grant of 11,980 options vests in three installments: 3,994 on 01/24/2003, 3,993 on 01/24/2004 and 3,993 on 01/24/2005. |
6. The total grant of 11,990 options vests in three installments: 3,997 on 01/23/2004, 3,996 on 01/23/2005 and 3,997 on 01/23/2006. |
7. No exercise or expiration date or conversion or exercise price applies. Under the Incentive Compensation Plan for Key Employees (ICPKE), payout of the underlying securities will occur on 3/01/06, after the three year vesting period has elapsed. |
Remarks: |
/s/ Thomas D. Salus Attorney-in-Fact | 10/10/2003 | |
** 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 5 (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. |