SEC Form 4 · accession 0000753308-17-000035
NEXTERA ENERGY INC · NEE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah H Caplan
Officer — EVP, HR & Corp Services
Period of report
Feb 17, 2017
Accepted (ET)
Feb 21, 2017 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000753308
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 17, 2017 | A | 1,160 | $0.00 | A | 19,585 | D | |
| Common Stock | Feb 17, 2017 | A | 3,972 | $0.00 | A | 23,557 | D | |
| Common Stock | Feb 17, 2017 | F | 1,086 | $126.86 | D | 22,471 | D | |
| Common Stock | Feb 17, 2017 | F | 410 | $126.86 | D | 22,061 | D | |
| Common Stock | holding | — | — | — | 2,537 | I | By Retirement Savings Plan Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF5 | — | Feb 17, 2017 | A | 342 | A | — | — | Common Stock | — | 2,724 | D |
| Employee Stock Option (Right to Buy)F6 | $126.86 | Feb 17, 2017 | A | 11,101 | A | — | Feb 17, 2027 | Common Stock | 11,101 | 11,101 | D |
Explanation of responses
- F1Restricted stock grant made pursuant to Issuer's 2011 Long Term Incentive Plan, exempt under Rule 16b-3.
- F2Shares acquired in settlement of performance share awards (which were not derivative securities) under Issuer's Amended and Restated Long Term Incentive Plan, exempt under Rule 16b-3.
- F3Stock withheld by Issuer to satisfy tax withholding obligations on shares acquired February 17, 2017 in settlement of performance share awards.
- F4Restricted stock withheld by Issuer to satisfy tax withholding obligations on vesting of restricted stock granted February 14, 2014, February 13, 2015 and February 12, 2016.
- F5Annual credit of phantom shares to an unfunded Supplemental Matching Contribution Account ("SMCA") for the reporting person pursuant to the NextEra Energy, Inc. Supplemental Executive Retirement Plan ("SERP") in an amount approved on the transaction date by the Issuer's Compensation Committee, which amount is determined by dividing an amount equal to (a) certain matching contributions in excess of the limits of the Issuer's Retirement Savings Plan plus (b) theoretical earnings, by the closing price of the Issuer's common stock on the last business day of the relevant year ($119.46 in 2016). The value of the SMCA is payable in cash following the reporting person's termination of employment with the Issuer and its subsidiaries.
- F6Options to buy 3,701 shares become exercisable on 02/15/2018 and options to buy 3,700 shares become exercisable on each of 02/15/2019 and 02/15/2020.