Filing Details
- Accession Number:
- 0001140361-11-052708
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-09 17:35:11
- Reporting Period:
- 2011-11-08
- Filing Date:
- 2011-11-09
- Accepted Time:
- 2011-11-09 17:35:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1089819 | Cleco Corp | CNL | Electric Services (4911) | 721445282 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1186068 | G Sherian Cadoria | P.o. Box 5000 Pineville LA 71361-5000 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 Par | Acquisiton | 2011-11-08 | 10,000 | $0.00 | 14,033 | No | 4 | M | Direct | |
| Common Stock, $1.00 Par | Disposition | 2011-11-08 | 10,000 | $0.00 | 4,033 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 Par | Outside Director Stock Option | Disposition | 2011-11-08 | 2,500 | $0.00 | 2,500 | $18.13 |
| Common Stock, $1.00 Par | Outside Director Stock Option | Disposition | 2011-11-08 | 2,500 | $0.00 | 2,500 | $16.25 |
| Common Stock, $1.00 Par | Outside Director Stock Option | Disposition | 2011-11-08 | 5,000 | $0.00 | 5,000 | $17.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,500 | 2002-07-19 | 2012-07-19 | No | 4 | X | Direct |
| 5,000 | 2003-07-25 | 2013-07-25 | No | 4 | X | Direct |
| 0 | 2004-04-23 | 2014-04-23 | No | 4 | X | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 Par | Phantom Stock | $0.00 | 0 | 20,089 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 20,089 | Direct |
Footnotes
- 2,500 shares at $18.1250, 2,500 shares at $16.2500 and 5,000 shares at $17.7500.
- 6,000 shares at $36.56, 3,000 shares at $36.57 and 1,000 shares at $36.59.
- Shares of phantom stock held pursuant to the terms and provisions of the Cleco Corporation Deferred Compensation Plan (the "Plan"). The reporting person has elected to defer receipt of these shares under the Plan. Each share of phantom stock is the economic equivalent of one share of Cleco Corporation common stock.
- Includes 2,995 shares of phantom stock (not subject to restrictions) related to dividend reinvestment on shares of phantom stock pursuant to the terms and provisions of the Plan. Includes (a) 2,228 shares of phantom stock subject to restrictions that lapse on January 27, 2012; (b) 1,846 shares of phantom stock subject to restrictions that lapse on January 26, 2013; (c) 2,140 shares of phantom stock subject to restrictions that lapse on January 25, 2014; (d) 2,544 shares of phantom stock subject to restrictions that lapse on January 30, 2015; (e) 2,149 shares of phantom stock subject to restrictions that lapse on January 29, 2016 and (f) 1,898 shares of phantom stock subject to restrictions that lapse on January 28, 2017.
- Right to buy granted under the Company's 2000 Long-Term Incentive Compensation Plan.
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