SEC Form 4 · accession 0001140361-18-009714
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 20, 2018
Accepted (ET)
Feb 22, 2018 · 9:11 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 20, 2018 | A | 219,537 | $44.68 | A | 774,006 | D | |
| Common StockF2 | Feb 20, 2018 | M | 33,038 | — | A | 807,044 | D | |
| Common StockF2 | Feb 20, 2018 | M | 112,642 | — | A | 919,687 | D | |
| Common StockF3 | Feb 20, 2018 | F | 170,876 | $44.68 | D | 748,810 | D | |
| Common StockF4 | holding | — | — | — | 2,027 | 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 UnitsF2,F5,F6 | — | Feb 20, 2018 | M | 33,038 | D | — | — | Common Stock | 33,038 | 0 | D |
| Restricted Stock UnitsF2,F7,F8 | — | Feb 20, 2018 | M | 112,642 | D | — | — | Common Stock | 112,642 | 0 | D |
Explanation of responses
- F1This amount also includes 688.880 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 20, 2018).
- F5Award vested on December 31, 2017 but was settled in shares of common stock on February 20, 2018.
- F6Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 29,901 units.
- F7On Feb. 20, 2013, the reporting person was granted 141,300 restricted stock units, one-third of which vested on Feb. 20, 2016, and the remaining two-thirds vested on Feb. 20, 2018.
- F8Includes 6,937.63 additional restricted units acquired pursuant to reinvestment of dividend equivalents credited on outstanding restricted stock units.