SEC Form 4 · accession 0001140361-18-009718
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marvin E. McDaniel Jr.
Officer — EVP & CAO
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 9:13 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 | 35,332 | $0.00 | A | 116,144 | D | |
| Common StockF2 | Feb 20, 2018 | M | 6,424 | — | A | 122,568 | D | |
| Common StockF3 | Feb 20, 2018 | F | 18,867 | $44.68 | D | 103,701 | D | |
| Common StockF4 | holding | — | — | — | 9,485 | 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 20, 2018 | M | 6,424 | D | — | — | Common Stock | 6,424 | 0 | D |
Explanation of responses
- F1This amount also includes 17.417 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).
- F5Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 5,814 units.
- F6Award vested on December 31, 2017 but was settled in shares of common stock on February 20, 2018.