SEC Form 4 · accession 0001140361-15-008047
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy John O'Connor
Officer — Senior VP and CNO
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 6:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000072903
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 17, 2015 | A | 1,738 | $0.00 | A | 5,873 | D | |
| Common StockF1 | Feb 17, 2015 | F | 970 | $35.00 | D | 4,903 | D | |
| Common StockF2 | holding | — | — | — | 292 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F4 | $0.00 | Feb 17, 2015 | A | 5,950 | A | — | — | Common Stock | 5,950 | 12,917 | D |
| Phantom StockF3,F5 | $0.00 | Feb 18, 2015 | A | 17 | A | — | — | Common Stock | 17 | 621 | D |
Explanation of responses
- F1A fractional share interest was sold in connection with the vesting of the award.
- F2Shares held in the Xcel Energy Stock Fund under the Xcel Energy 401(k) Savings Plan as of the most recent plan statement (Jan. 15, 2015).
- F3Security converts to common stock on a one-for-one basis.
- F4Phantom stock representing long-term incentive award payments deferred into the Xcel Energy Deferred Compensation Plan that are held in the Xcel Energy common stock fund and are payable in shares of Xcel Energy common stock upon distribution.
- F5Shares of phantom stock are payable in cash following termination of a reporting persons employment.