SEC Form 4 · accession 0001140361-16-054591
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin G S Fowke III
Officer — Chairman, President and CEO · Director
Period of report
Feb 20, 2016
Accepted (ET)
Feb 23, 2016 · 6:01 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 StockF2,F1 | Feb 20, 2016 | M | 52,063 | — | A | 468,486 | D | |
| Common Stock | Feb 20, 2016 | F | 25,095 | $39.33 | D | 443,392 | D | |
| Common StockF3 | holding | — | — | — | 1,903 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F1,F5 | — | Feb 20, 2016 | M | 52,063 | D | — | — | Common Stock | 52,063 | 105,704 | D |
Explanation of responses
- F1Security converts to common stock on a one-for-one basis.
- F2A 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.
- 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).
- F4Includes 16,467.827 additional restricted units acquired pursuant to reinvestment of dividend equivalents credited on outstanding restricted stock units.
- F5On Feb. 20, 2013, the reporting person was granted 141,300 restricted stock units, one-third of which vested on Feb. 20, 2016, and the remaining two-thirds vests on Feb. 20, 2018.