UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units (right to buy) | 04/08/2015 | 04/08/2015 | Common Stock | 250 | $ (3) | D | Â |
Restricted Stock Units (right to buy) | 04/08/2016 | 04/08/2016 | Common Stock | 250 | $ (3) | D | Â |
Restricted Stock Units (right to buy) | 04/08/2016 | 04/08/2016 | Common Stock | 1,000 | $ (3) | D | Â |
Restricted Stock Units (right to buy) | 04/08/2017 | 04/08/2017 | Common Stock | 250 | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROGELSTAD TIMOTHY J 215 S CASCADE ST FERGUS FALLS, MN 56537-2801 |
 |  |  Sr VP, Elect Plat; Pres OTP |  |
/s/ Timothy J Rogelstad by Debra J Lill, Attorney-in-Fact | 04/16/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Otter Tail Corporation announced Mr. Rogelstad as Sr Vice President, Electric Platform and President of Otter Tail Power Company at the Shareholder Annual Meeting held April 14, 2014. His new role is effective immediately and he will report directly to Mr. Charles MacFarlane. |
(2) | Total direct holdings include shares of Common Stock acquired under the 2014 Stock Incentive Plan, which is a grant of Restricted Stock. The 1,800 shares granted 4/14/2014 vest 25% yearly commencing 4/8/2015. Other direct holdings include shares jointly held with spouse in the Employee Stock Purchase Plan and shares acquired pursuant to Restricted Stock Unit distributions. |
(3) | 1 -for -1 |