SEC Form 4 · accession 0001567619-18-004939
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
Oct 31, 2018
Accepted (ET)
Nov 1, 2018 · 4:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000072903
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F1,F2 | — | Oct 31, 2018 | A | 4 | A | — | — | Common Stock | 4 | 40 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive the cash value of one share of common stock.
- F2Shares of phantom shares become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.
- F3The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.