SEC Form 4 · accession 0001140361-16-054699
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 22, 2016
Accepted (ET)
Feb 24, 2016 · 5:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000072903
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F1,F2 | $0.00 | Feb 22, 2016 | A | 6,051 | A | — | — | Common Stock | 6,051 | 44,801 | D |
Explanation of responses
- F1Security converts to common stock on a one-for-one basis.
- F2Shares 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").
- F3The number of shares of phantom stock beneficially owned following the reported transaction reflects the aggregate amount of all phantom stock beneficially owned by the reporting person. Previous reports filed by the reporting person had separated reported amounts of phantom stock into groupings based on the nature of the deferral giving rise to the phantom shares.