SEC Form 4 · accession 0000753308-18-000037
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 15, 2018
Accepted (ET)
Feb 20, 2018 · 1:38 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 15, 2018 | A | 681 | $0.00 | A | 22,742 | D | |
| Common Stock | Feb 15, 2018 | A | 4,970 | $0.00 | A | 27,712 | D | |
| Common Stock | Feb 15, 2018 | F | 1,227 | $154.43 | D | 26,485 | D | |
| Common Stock | Feb 15, 2018 | F | 334 | $154.43 | D | 26,151 | D | |
| Common Stock | holding | — | — | — | 2,695 | 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 15, 2018 | A | 329 | A | — | — | Common Stock | — | 3,053 | D |
| Employee Stock Option (Right to Buy)F6 | $154.43 | Feb 15, 2018 | A | 8,969 | A | — | Feb 15, 2028 | Common Stock | 8,969 | 8,969 | 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 15, 2018 in settlement of performance share awards.
- F4Restricted stock withheld by Issuer to satisfy tax withholding obligations on vesting of restricted stock granted February 13, 2015, February 12, 2016 and February 17, 2017.
- 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 ($156.19 in 2017). 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 2,989 shares become exercisable on 02/15/2019 and options to buy 2,990 shares become exercisable on each of 02/15/2020 and 02/15/2021.