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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Prue Nancy J F ADAMS DIVERSIFIED EQUITY FUND, INC. 500 EAST PRATT STREET, SUITE 1300 BALTIMORE, MD 21202 |
E.V.P.& Dir.-Shareholder Com. |
Gail L. Valenti as Attorney-in-Fact for Nancy J. F. Prue | 09/22/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These shares were acquired in exempt transactions as a result of dividend reinvestment during January 1 - June 8, 2017. The Issuer's stock traded in a range of $12.78 - $14.44 during January 1 - June 8, 2017. |
(2) | Of these shares, 43.4464 shares are held by the Issuer's Thrift Plan Trust and 91.5190 are held by Adams Natural Resources Fund, Inc.'s Thrift Plan Trust and represent the undersigned's proportionate beneficial interest in the shares that were acquired by the Trusts during January 1 - June 8, 2017 in exempt transactions as a result of periodic contributions and shares acquired by the Trustees through dividend reinvestment. The Issuer's stock traded in a range of $12.78 - $14.44 during January 1 - June 8, 2017. |
(3) | The number of shares reported as held by the Issuer's and by Adams Natural Resources Fund's Thrift Plan Trusts represents the undersigned's proportionate beneficial interest in such stock held in the Trusts. Such number is based on information as of June 8, 2017. This number includes the shares acquired in exempt transactions through periodic contributions made during January 1 - June 8, 2017, shares acquired by the Trustees through dividend reinvestment, and changes in the number of shares previously reported due to fluctuations in the market price and interests in the Trusts during January 1 - June 8, 2017. |
Remarks: Nancy J. F. Prue retired on June 8, 2017. |