SEC Form 4 · accession 0001246360-17-002617
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
Aug 17, 2017
Accepted (ET)
Aug 21, 2017 · 2:28 pm EDT
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 | Aug 17, 2017 | G | 1,000 | $0.00 | A | 1,000 | I | By Spouse |
| Common StockF1,F2 | Aug 17, 2017 | G | 1,000 | $0.00 | D | 65,307 | D | |
| Common StockF3 | Aug 17, 2017 | S | 1,000 | $47.79 | D | 0 | I | By Spouse |
| Common Stock | Aug 17, 2017 | S | 1,000 | $47.82 | D | 64,307 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved a gift of securities by the reporting person to his spouse.
- F2The total holdings reflect an adjustment of 21 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 192 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.
- F3This transaction involved the subsequent sale of the securities gifted to the reporting person's spouse.