Statement of Changes in Beneficial Ownership (4)
19 August 2021 - 7:09AM
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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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
*
Knight Gregory E. |
2. Issuer Name and Ticker or Trading Symbol
CENTERPOINT ENERGY INC
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CNP
]
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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) EVP Cust. Trans. & Bus. Svcs. |
(Last)
(First)
(Middle)
1111 LOUISIANA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/17/2021 |
(Street)
HOUSTON, TX 77002
(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 | 8/17/2021 | | F | | 1180 (1) | D | $26.85 | 50131 (2) | D | |
Common Stock | | | | | | | | 4868 | I | By Savings Plan (3) |
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) | Shares withheld for taxes upon vesting of fully-vested restricted stock units. |
(2) | Total includes (i) 4,843 time-based restricted stock units ("RSUs") awarded under Issuer's Long-term Incentive Plan ("Plan") and vesting in August 2022 and (ii) 4,842 RSUs vesting in August 2023. Reporting Person ("R.P.") must remain an employee of Issuer thru applicable vesting dates. Also includes 11,274 RSUs vesting (a) in August 2023 if R.P. remains an employee of Issuer thru vesting date; (b) upon his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies conditions for full vesting. Also includes 10,894 RSUs vesting (a) in February 2024 if R.P. remains an employee of Issuer thru vesting date; (b) upon his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies conditions for full vesting, provided, any such vesting is conditioned on positive operating income in last full calendar year of restricted period except in case of death or disability. |
(3) | Equivalent shares held in CenterPoint Energy, Inc. Savings Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Knight Gregory E. 1111 LOUISIANA HOUSTON, TX 77002 |
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| EVP Cust. Trans. & Bus. Svcs. |
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Signatures
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Vincent A. Mercaldi, Attorney-in-Fact | | 8/18/2021 |
**Signature of Reporting Person | Date |
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