SEC Form 4/A · accession 0001140361-18-012922
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Scott M Wilensky
Officer — EVP & General Counsel
Period of report
Feb 20, 2018
Accepted (ET)
Mar 9, 2018 · 8:42 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,F2 | Feb 20, 2018 | A | 10,828 | $0.00 | A | 117,072 | D | |
| Common StockF4 | Feb 20, 2018 | F | 7,917 | $44.68 | D | 114,356 | D | |
| Common StockF5 | holding | — | — | — | 5,712 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F7,F3,F6 | $0.00 | Feb 20, 2018 | A | 17,773 | A | — | — | Common Stock | 17,773 | 18,380 | D |
Explanation of responses
- F1Corrected to reflect 15,234 shares acquired as phantom stock and .869 shares settled in cash.
- F2This amount also includes 3,231.691 shares of stock acquired between March 13, 2017 and December 28, 2017 pursuant to the reinvestment of dividends.
- F3Phantom shares 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.
- F5Corrected to reflect shares held in the Xcel Energy Stock Fund under the Xcel Energy 401(K) Savings Plan based on adjusted plan statement dated as of March 1, 2018.
- F6Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").
- F7The 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.