SEC Form 4 · accession 0001567619-19-005183
XCEL ENERGY INC · XEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy John O'Connor
Officer — SVP and CNO
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 7:20 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 19, 2019 | A | 304 | $0.00 | A | 10,965 | D | |
| Common StockF2 | Feb 19, 2019 | M | 4,315 | — | A | 15,279 | D | |
| Common StockF3 | Feb 19, 2019 | F | 1,558 | $53.46 | D | 13,722 | D | |
| Common StockF4 | holding | — | — | — | 335 | 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 StockF6,F2,F5 | $0.00 | Feb 19, 2019 | A | 12,637 | A | — | — | Common Stock | 12,637 | 83,147 | D |
| Restricted Stock UnitsF7,F2,F8 | — | Feb 19, 2019 | M | 4,315 | D | — | — | Common Stock | 4,315 | 0 | D |
Explanation of responses
- F1This amount also includes 35.578 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.
- F2Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.
- F3Fractional share interests relating to the settlement of restricted stock and performance share unit awards and relating to share withholding for taxes were settled in cash.
- F4Shares held in the Xcel Energy Stock Fund under the Xcel Energy 401(k) Savings Plan as of plan statement dated February 15, 2019.
- F5Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").
- F6The number of shares of phantom stock reflects additional shares credited upon the deemed reinvestment of dividend equivalents as well as minor adjustments due the unitized nature of the Plan's Issuer stock fund.
- F7Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 3,922 units.
- F8Award vested on December 31, 2018 but was settled in shares of common stock on February 19, 2019.