5 1 dobson_02form5.txt 2002 FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported 1. Name and Address of Reporting Person(s) Dobson, Rick J 20 W 9th Street MS 3-426 Kansas City, MO 64105 2. Issuer Name and Ticker or Trading Symbol Aquila, Inc. (ILAC) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Year 12/02 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Interim CFO 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code Amount D Price End of Year I ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2,093.9193 I By 401k/ESOP Common Stock 17,936.0000 D Direct Common Stock 12/23/02 B 2.4877 D $1.591800 713.9045 I by trust CAP Plan Table II (PART 1) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code A D Exercisable Expiration ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $19.125000 02/01/10 (right to buy) Non-Qualified Stock Option $23.083300 02/02/09 (right to buy) Non-Qualified Stock Option $24.896000 05/04/08 (right to buy) Non-Qualified Stock Option $34.802784 04/23/11 (right to buy) Table II (PART 2) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Year ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option Common Stock 3,000.0000 3,000.0000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 8,550.0000 8,550.0000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 5,700.0000 5,700.0000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 18,196.0000 18,196.0000 D Direct (right to buy) Explanation of Responses:
SIGNATURE OF REPORTING PERSON /S/ By: Leslie J. Parrette For: Rick J. Dobson DATE 02/13/03