SEC Form 4 · accession 0001140361-18-009724
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judy M. Poferl
Officer — SVP, Corp Secretary, Exec Svcs
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 9:17 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 | 4,197 | $0.00 | A | 26,133 | D | |
| Common StockF1 | Feb 20, 2018 | M | 2,141 | — | A | 28,274 | D | |
| Common StockF2 | Feb 20, 2018 | F | 2,814 | $44.68 | D | 25,460 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F1,F3 | — | Feb 20, 2018 | A | 7,579 | A | — | — | Common Stock | 7,579 | 42,116 | D |
| Restricted Stock UnitsF5,F1,F6 | — | Feb 20, 2018 | M | 2,141 | D | — | — | Common Stock | 2,141 | 0 | D |
Explanation of responses
- F1Restricted stock units and phantom shares 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 of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").
- F4The number of shares of phantom stock reflects additional shares credited upon the deemed reinvestment of dividend equivalents as well as minor adjustments due to the unitized nature of the Plan's Issuer stock fund.
- F5Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 1,938 units.
- F6Award vested on December 31, 2017 but was settled in shares of common stock on February 20, 2018.