SEC Form 4 · accession 0001140361-18-009717
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark E Stoering
Officer — President, NSPW
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 9:12 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 | Feb 20, 2018 | A | 6,730 | $0.00 | A | 55,154 | D | |
| Common StockF1 | Feb 20, 2018 | M | 1,224 | — | A | 56,378 | D | |
| Common StockF2 | Feb 20, 2018 | F | 3,072 | $44.68 | D | 53,306 | D | |
| Common StockF3 | holding | — | — | — | 866 | 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 UnitsF4,F1,F5 | — | Feb 20, 2018 | M | 1,224 | D | — | — | Common Stock | 1,224 | 0 | D |
Explanation of responses
- F1Restricted stock units are settled in common stock on a one-for-one basis.
- F2A 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.
- F3Shares 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).
- F4Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 1,108 units.
- F5Award vested on December 31, 2017 but was settled in shares of common stock on February 20, 2018.