SEC Form 4 · accession 0001140361-17-008954

XCEL ENERGY INC · XEL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP & General Counsel

Period of report

Feb 21, 2017

Accepted (ET)

Feb 23, 2017 · 9:58 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 Stock^F1,F2	Feb 21, 2017	A	31,394	—	A	117,319	D
Common Stock^F3	Feb 21, 2017	M	5,801	—	A	123,119	D
Common Stock^F4	Feb 21, 2017	F	18,417	$42.00	D	104,700	D
Common Stock^F5	holding	—	—		—	5,548	I	401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F6,F3,F7	—	Feb 21, 2017	M	5,801	D	—	—	Common Stock	5,801	0	D

F1Of the 31,393.57 shares, 1,488.85 were issued at a price of $42.00 per share in connection with the reporting person's election to receive a portion of his annual incentive award in shares, and 29,904.72 shares were issued at no cost as a 5% premium on the annual incentive received in shares and in settlement of performance share units.
F2This amount also includes 2,762.377 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.
F3Restricted stock units are settled in common stock on a one-for-one basis.
F4A 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.
F5Shares 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).
F6Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 5,221 units.
F7Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.