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Entergy (ETR) director awarded common shares and phantom stock units as compensation

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

CALDWELL JAMES FRANK JR reported acquisition or exercise transactions in this Form 4 filing.

Entergy director James Frank Caldwell Jr reported compensation-related equity awards rather than open-market trades. On June 1, 2026, he received 501 shares of Entergy common stock under the Entergy Corporation Director Stock Program and 221 phantom stock units under the Service Recognition Program. Following these grants, he directly holds 1,024 shares of common stock, which include 2 shares from Entergy's dividend reinvestment plan, and 523 phantom stock units that are vested and will be settled in common shares after he leaves the Board.

Positive

  • None.

Negative

  • None.
Insider CALDWELL JAMES FRANK JR
Role null
Type Security Shares Price Value
Grant/Award Common Stock 221 $0.00 --
Grant/Award Common Stock 501 $0.00 --
Holdings After Transaction: Common Stock — 523 shares (Direct, null)
Footnotes (1)
  1. Acquired under the Entergy Corporation Director Stock Program. Reflects phantom stock units acquired under Entergy Corporation's Service Recognition Program and each phantom stock unit is the economic equivalent of one share of Entergy common stock. The phantom stock units are vested at the time of grant and will be settled in shares of Entergy common stock after separation of service from Entergy's Board of Directors. Includes 2 shares of Entergy common stock acquired pursuant to Entergy's dividend reinvestment plan.
Common stock grant 501 shares Director Stock Program award on June 1, 2026
Phantom stock unit grant 221 units Service Recognition Program award on June 1, 2026
Common shares held after grants 1,024 shares Direct holdings following Form 4 transactions
Phantom units held after grants 523 units Phantom stock units following Service Recognition award
Dividend reinvestment plan shares 2 shares Included in total common stock holdings
Grant price $0.00 per share Compensation-related awards coded as A transactions
Director Stock Program financial
"Acquired under the Entergy Corporation Director Stock Program."
phantom stock units financial
"Reflects phantom stock units acquired under Entergy Corporation's Service Recognition Program"
Phantom stock units are company promises that pay a cash or stock-equivalent award tied to the firm’s share price or value growth, but they do not issue actual shares. Think of them as a bonus check that moves with the stock like a mirror rather than handing over an ownership slice. Investors care because these awards can affect a company’s future cash obligations, executive incentives and reported expenses without causing share dilution.
Service Recognition Program financial
"Reflects phantom stock units acquired under Entergy Corporation's Service Recognition Program"
dividend reinvestment plan financial
"Includes 2 shares of Entergy common stock acquired pursuant to Entergy's dividend reinvestment plan."
A dividend reinvestment plan lets shareholders automatically use cash dividends to buy more shares of the same company instead of receiving the money. It matters to investors because it turns regular payouts into a steady way to grow ownership and take advantage of compound returns—like having your savings automatically buy additional slices of a pie over time—while often reducing transaction costs and smoothing purchase timing.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
CALDWELL JAMES FRANK JR
(Last)(First)(Middle)
C/O ENTERGY CORPORATION LEGAL DEPARTMENT
639 LOYOLA AVENUE, 26TH FLOOR
(Street)
NEW ORLEANS LOUISIANA 70113
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ENTERGY CORP /DE/ [ ETR ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)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)
CodeVAmount(A) or (D)Price
Common Stock06/01/2026A(1)221A$0523D
Common Stock06/01/2026A(2)501A$01,024(3)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 (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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Acquired under the Entergy Corporation Director Stock Program.
2. Reflects phantom stock units acquired under Entergy Corporation's Service Recognition Program and each phantom stock unit is the economic equivalent of one share of Entergy common stock. The phantom stock units are vested at the time of grant and will be settled in shares of Entergy common stock after separation of service from Entergy's Board of Directors.
3. Includes 2 shares of Entergy common stock acquired pursuant to Entergy's dividend reinvestment plan.
/s/ Daniel T. Falstad, by power of attorney granted by the Reporting Person06/02/2026
** Signature of Reporting PersonDate
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Entergy (ETR) director James Frank Caldwell Jr acquire in this Form 4?

He received equity awards, not market purchases. Caldwell acquired 501 shares of Entergy common stock under the Director Stock Program and 221 phantom stock units under the Service Recognition Program as part of his director compensation on June 1, 2026.

Were there any open-market stock purchases or sales by the Entergy (ETR) director?

No open-market transactions occurred. The Form 4 shows only compensation-related awards coded as “A” grants, with zero-priced issuances of common stock and phantom stock units, rather than discretionary buying or selling in the market by the director.

How many Entergy (ETR) common shares does the director hold after these grants?

After the reported grants, Caldwell directly holds 1,024 shares of Entergy common stock. This figure includes 2 shares acquired through Entergy’s dividend reinvestment plan, as noted in the filing’s footnotes describing his updated ownership position.

What are the phantom stock units reported for Entergy (ETR) in this filing?

The filing reports phantom stock units from Entergy’s Service Recognition Program. Each unit is economically equivalent to one Entergy common share, vests at grant, and will be settled in actual common stock after Caldwell separates from the company’s Board of Directors.

How many phantom stock units in Entergy (ETR) does the director now have?

Following the Service Recognition Program award, Caldwell has 523 phantom stock units. These units mirror the value of Entergy common stock and are scheduled to be settled in actual shares once he leaves service on Entergy’s Board, according to the filing footnote.

What Entergy (ETR) programs granted these shares and units to the director?

The 501 common shares came from the Entergy Corporation Director Stock Program. The 221 phantom stock units were granted under Entergy Corporation’s Service Recognition Program, which provides stock-based recognition awards to directors and settles in common shares after Board service ends.