SEC Form 4 · accession 0000753308-19-000045
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 14, 2019
Accepted (ET)
Feb 19, 2019 · 1:00 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 StockF2 | Feb 14, 2019 | S | 2,954 | $183.473 | D | 22,597 | D | |
| Common Stock | Feb 14, 2019 | S | 100 | $184.20 | D | 22,497 | D | |
| Common Stock | Feb 14, 2019 | A | 639 | $0.00 | A | 23,136 | D | |
| Common Stock | Feb 14, 2019 | A | 5,704 | $0.00 | A | 28,840 | D | |
| Common Stock | Feb 14, 2019 | F | 1,610 | $182.61 | D | 27,230 | D | |
| Common Stock | Feb 15, 2019 | F | 277 | $184.04 | D | 26,953 | D | |
| Common Stock | holding | — | — | — | 2,844 | 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 SharesF7 | — | Feb 14, 2019 | A | 339 | A | — | — | Common Stock | — | 3,392 | D |
| Employee Stock Option (Right to Buy)F8 | $182.61 | Feb 14, 2019 | A | 8,985 | A | — | Feb 14, 2029 | Common Stock | 8,985 | 8,985 | D |
Explanation of responses
- F1Sales effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on November 16, 2018.
- F2Weighted average sale price. Reporting person sold 2,954 shares through a trade order executed by a broker-dealer at prices ranging from $183.11 to $184.06 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer.
- F3Restricted stock grant made pursuant to Issuer's 2011 Long Term Incentive Plan, exempt under Rule 16b-3.
- F4Shares 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.
- F5Stock withheld by Issuer to satisfy tax withholding obligations on shares acquired February 14, 2019 in settlement of performance share awards.
- F6Restricted stock withheld by Issuer to satisfy tax withholding obligations on vesting of restricted stock granted February 12, 2016, February 17, 2017 and Februry 15, 2018.
- F7Annual 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 ($173.82 in 2018). The value of the SMCA is payable in cash following the reporting person's termination of employment with the Issuer and its subsidiaries.
- F8Options to buy 2,995 shares become exercisable on each of 02/15/2020, 02/15/2021 and 02/15/2022.