SEC Form 4 · accession 0001140361-16-080169
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
Sep 15, 2016
Accepted (ET)
Sep 19, 2016 · 2:41 pm EDT
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 | Sep 15, 2016 | A | 17 | A | — | — | Common Stock | 17 | 46,045 | 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 reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as the number of shares reflected in such report as attributable to the reporting person in the Plan's unitized Company stock fund.