Statement of Changes in Beneficial Ownership (4)
05 February 2021 - 7:05AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Adams Robert John |
2. Issuer Name and Ticker or Trading Symbol
ALLETE INC
[
ALE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Sr VP and CFO |
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(Last)
(First)
(Middle)
30 WEST SUPERIOR STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/2/2021 |
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(Street)
DULUTH, MN 55802
(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 | 2/2/2021 | | A | | 1413 | A | $0 | 6826.9 (1) | D | |
| Common Stock | | | | | | | | 11707.69 (2) | I | By RSOP Trust |
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 |
| Explanation of Responses: |
| (1) | Includes shares acquired in exempt transactions under: (a) the dividend reinvestment feature of ALLETE's stock purchase and dividend reinvestment plan, (b) ALLETE's employee stock purchase plan, and (c) the dividend equivalent feature of restricted stock grants pursuant to ALLETE's Executive long-term incentive compensation plan; all based on plan information available as of January 31, 2021. |
| (2) | Includes shares acquired in exempt transactions pursuant to ALLETE's retirement savings and stock ownership plan and is based on RSOP plan information available as of January 31, 2021. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Adams Robert John
30 WEST SUPERIOR STREET
DULUTH, MN 55802 |
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| Sr VP and CFO |
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Signatures
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| Ingrid K. Johnson for Robert J. Adams | | 2/4/2021 |
| **Signature of Reporting Person | Date |
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