SEC Form 4 · accession 0001140361-16-054044
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marvin E. McDaniel Jr.
Officer — EVP, Grp Pres, Utilities & CAO
Period of report
Feb 16, 2016
Accepted (ET)
Feb 18, 2016 · 9:27 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 StockF1,F2 | Feb 16, 2016 | A | 15,257 | $0.00 | A | 91,699 | D | |
| Common Stock | Feb 16, 2016 | F | 7,214 | $38.82 | D | 84,485 | D | |
| Common StockF3 | holding | — | — | — | 8,904 | 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 StockF4,F5 | $0.00 | Feb 16, 2016 | A | 14,556 | A | — | — | Common Stock | 14,556 | 16,698 | D |
Explanation of responses
- F1A fractional share interest was settled in cash in connection with the settlement of a restricted stock unit award and the withholding of shares for taxes.
- F2This amount also includes 528.39 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.
- F3Shares held in the Xcel Energy Stock Fund under the Xcel Energy 401(K) Savings Plan as of the most recent plan statement (February 17, 2016).
- F4Each share of phantom stock represents the right to receive one share of Xcel Energy common stock or the cash value thereof.
- F5Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Certain of the phantom shares may be transferred by the reporting person into alternative investment accounts in the Plan beginning one year after they are credited to the reporting person's Plan account.