SEC Form 4 · accession 0001140361-17-008944
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 21, 2017
Accepted (ET)
Feb 23, 2017 · 9:53 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 | 225,017 | $42.00 | A | 654,405 | D | |
| Common StockF2 | Feb 21, 2017 | M | 37,421 | — | A | 691,827 | D | |
| Common StockF3 | Feb 21, 2017 | F | 130,554 | $42.00 | D | 561,271 | D | |
| Common StockF4 | holding | — | — | — | 1,966 | 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 | 37,421 | D | — | — | Common Stock | 37,421 | 0 | D |
Explanation of responses
- F1This amount also includes 895.758 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 restricted stock and performance share unit awards 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).
- F5Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 33,682 units.
- F6Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.