SEC Form 4 · accession 0001246360-17-000239
CMS ENERGY CORP · CMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Garrick J Rochow
Officer — Senior Vice President
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 2:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 18, 2017 | A | 14,695 | $0.00 | A | 74,368 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock granted by CMS Energy Corporation ("CMS") pursuant to CMS' Performance Incentive Stock Plan and subject to a three-year "cliff" vesting schedule.
- F2The total holdings reflect an adjustment of 49 additional shares of Common Stock of CMS Energy Corporation ("CMS") acquired as a result of dividend reinvestment pursuant to the reporting person's participation in the CMS Stock Purchase Plan, and an adjustment of 646 additional shares of Restricted Stock purchased on behalf of the reporting person as a result of an automatic acquisition of Restricted Stock in lieu of cash dividends pursuant to the terms of the award granted to the reporting person in accordance with the provisions of the CMS Performance Incentive Stock Plan.