Statement of Changes in Beneficial Ownership (4)
24 February 2023 - 9:17AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Carter Brett C |
2. Issuer Name and Ticker or Trading Symbol
XCEL ENERGY INC
[
XEL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) __X__ Other (specify below) EVP, Group President Utilitie
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Chief Customer Officer |
(Last)
(First)
(Middle)
414 NICOLLET MALL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/21/2023 |
(Street)
MINNEAPOLIS, MN 55401
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/21/2023 | | A | | 23380.366 (1) | A | $0 | 47526.314 (2) | D | |
Common Stock | 2/21/2023 | | M | | 3720.283 | A | (3) | 51246.597 | D | |
Common Stock | 2/21/2023 | | F | | 13380.649 (4) | D | $68.01 | 37865.948 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (3) | 2/21/2023 | | M | | | 3720.283 (5) | (6) | (6) | Common Stock | 3720.283 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Represents 18,066.118 shares of common stock issued upon settlement of performance share unit awards for the 2020-2022 performance period as well as 5,314.248 shares of common stock issued in lieu of a portion of the cash payment earned by the reporting person under the 2022 annual incentive program. |
(2) | The amount includes 528.781 shares of stock acquired pursuant to the reinvestment of dividends since the reporting person's last report. |
(3) | Restricted stock units are settled in common stock on a one-for-one basis. |
(4) | Represents the withholding of shares to satisfy tax obligations upon the settlement of the 2020-2022 performance share unit awards and restricted stock unit awards and the issuance of common stock under the 2022 annual incentive program. Fractional share interests were settled in cash. |
(5) | Number of units shown reflects the reinvestment of dividend equivalents since the original grant of 3,431 units granted on January 2, 2020. |
(6) | Award vested on December 31, 2022 but was settled in shares of common stock on February 21, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Carter Brett C 414 NICOLLET MALL MINNEAPOLIS, MN 55401 |
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| EVP, Group President Utilitie | Chief Customer Officer |
Signatures
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Kristin L. Westlund, Attorney in Fact for Brett C. Carter | | 2/23/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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