SEC Form 4 · accession 0001140361-18-022644
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brett C Carter
Officer — EVP, Chief Customer and Innova
Period of report
May 7, 2018
Accepted (ET)
May 9, 2018 · 7:16 pm EDT
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 | May 7, 2018 | A | 5,389 | $0.00 | A | 5,389 | D | |
| Common StockF1 | May 7, 2018 | F | 1,782 | $46.39 | D | 3,607 | D |
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,F3 | — | May 7, 2018 | A | 4,312 | A | — | — | Common Stock | 4,312 | 4,312 | D |
| Restricted Stock UnitsF2,F4 | — | May 7, 2018 | A | 4,312 | A | — | — | Common Stock | 4,312 | 4,312 | D |
| Restricted Stock UnitsF2,F5 | — | May 7, 2018 | A | 10,779 | A | — | — | Common Stock | 10,779 | 10,779 | D |
Explanation of responses
- F1A fractional share interest was settled in cash in connection with the settlement of a common stock award and withholding of shares for taxes.
- F2Upon vesting, each restricted stock unit may be settled in one share of Xcel Energy common stock or in the cash value thereof, or a combination of cash and shares, in the discretion of the Governance, Compensation and Nominating Committee.
- F3Award vests on Dec. 31, 2020.
- F4Award vests on Dec. 31, 2019.
- F5Award vests on May 7, 2019.