Sec Form 5 Filing - Shockley C James Jr @ RGC RESOURCES INC - 2022-09-30

Insider filing report for Changes in Beneficial Ownership
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FORM 5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
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1. Name and Address of Reporting Person
Shockley C James Jr
2. Issuer Name and Ticker or Trading Symbol
RGC RESOURCES INC [ RGCO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
VP & COO
(Last) (First) (Middle)
P. O. BOX 13007
3. Date of Earliest Transaction (MM/DD/YY)
09/30/2022
(Street)
ROANOKE, VA24030
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 Transaction(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 02/01/2022 A( 1 ) V 103.409 A $ 22.75 19,290.02 D
Common Stock 05/02/2022 A( 2 ) V 113.038 A $ 20.98 19,403.058 D
Common Stock 08/01/2022 A( 3 ) V 121.19 A $ 19.74 19,524.248 D
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
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)
Code V (A) ( D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Options $ 14.4 06/04/2015 12/04/2024 Common Stock 0 3,000 D
Employee Stock Options $ 14.147 06/03/2016 12/03/2025 Common Stock 0 4,500 D
Employee Stock Options $ 16.367 06/08/2017 12/08/2026 Common Stock 0 4,500 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Shockley C James Jr
P. O. BOX 13007
ROANOKE, VA24030
VP & COO
Signatures
/s/ C. James Shockley, Jr. 11/03/2022
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Includes 6.783 shares purchased 02/01/2022 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchased Plan and 96.626 restricted shares purchased 02/01/2022 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
( 2 )Includes 7.362 shares purchased 05/02/2022 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchased Plan and 105.676 restricted shares purchased 05/02/2022 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.
( 3 )Includes 7.831 shares purchased 08/01/2022 through dividends reinvested in the RGC Resources, Inc. Dividend Reinvestment Stock Purchased Plan and 113.359 restricted shares purchased 08/01/2022 through dividends reinvested in the RGC Resources, Inc. Restricted Stock Plan.

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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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