SEC Form 4 · accession 0001140361-17-008942
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher B Clark
Officer — President, NSPM
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 9:52 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 | Feb 21, 2017 | A | 2,554 | $0.00 | A | 8,924 | D | |
| Common StockF2 | Feb 21, 2017 | M | 2,725 | — | A | 11,649 | D | |
| Common StockF3 | Feb 21, 2017 | F | 909 | $42.00 | D | 10,739 | D | |
| Common StockF4 | holding | — | — | — | 1,058 | 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 UnitsF5,F2,F6 | — | Feb 21, 2017 | M | 2,725 | D | — | — | Common Stock | 2,725 | 0 | D |
Explanation of responses
- F1This amount also includes 1.177 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.
- F2Restricted stock units are settled in common stock on a one-for-one basis.
- F3A 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.
- F4Shares held in the Xcel Energy Stock Fund under the Xcel Energy 401(K) Savings Plan as of the most recent plan statement (February 21, 2017).
- F5The number of shares and units reported reflects the maximum number of shares issuable in settlement based on the issuers performance over the performance period as well as the reinvestment of dividend equivalents during the term of the award. The award was previously reported as involving 2,102 units.
- F6Award vests and is settled in shares of common stock upon certification of performance following the close of the performance period on December 31, 2016.