SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol NEXTERA ENERGY INC [ NEE ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 03/02/2020 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 03/02/2020 | M(1) | 50,969 | A | $60.22 | 412,783(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 700 | D | $253.232(5) | 412,083(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 994 | D | $254.638(6) | 411,089(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 5,300 | D | $255.852(7) | 405,789(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 9,538 | D | $256.953(8) | 396,251(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 3,142 | D | $257.902(9) | 393,109(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 1,800 | D | $259.084(10) | 391,309(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 2,700 | D | $259.861(11) | 388,609(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 3,900 | D | $261.517(12) | 384,709(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 7,789 | D | $262.369(13) | 376,920(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 11,674 | D | $263.444(14) | 365,246(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 11,188 | D | $264.317(15) | 354.058(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 3,043 | D | $265.344(16) | 351,015(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 1,400 | D | $266.453(17) | 349,615(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 7,448 | D | $267.774(18) | 342,167(2)(3) | D | |||
| Common Stock | 03/02/2020 | S(4) | 353 | D | $268.738(19) | 341,814(2)(3) | D | |||
| Common Stock | 107,632 | I | James L. Robo Gifting Trust | |||||||
| Common Stock | 73,550 | I | Spouse's Gifting Trust | |||||||
| Common Stock | 31,292 | I | 2018 Spouse's Gifting Trust | |||||||
| Common Stock | 74,215(20) | I | By Rabbi Trust | |||||||
| Common Stock | 4,667 | I | By Retirement Savings Plan Trust | |||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
| Employee Stock Option (Right to Buy) | $60.22 | 03/02/2020 | M(1) | 50,969 | (21) | 02/17/2022 | Common Stock | 50,969 | $0 | 50,968 | D | ||||
| Explanation of Responses: |
| 1. Options exercised pursuant to Rule 10b5-1 trading plan adopted by the reporting person on July 26, 2019. |
| 2. Includes a total of 47,936 shares deferred pursuant to the terms of a deferred stock grant under Issuer's Amended and Restated 2011 Long Term Incentive Plan (the "Deferred Shares Grant"). Under the terms of the Deferred Shares Grant, shares are distributable in stock at the end of the deferral period. |
| 3. Includes a total of 220,697 shares deferred until reporting person's termination of employment with the Issuer and its subsidiaries. |
| 4. Sales effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on July 26, 2019. |
| 5. Weighted average sale price. Reporting person sold 700 shares through a trade order executed by a broker-dealer at prices ranging from $253.090 to $253.310 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 6. Weighted average sale price. Reporting person sold 994 shares through a trade order executed by a broker-dealer at prices ranging from $254.350 to $255.130 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 7. Weighted average sale price. Reporting person sold 5,300 shares through a trade order executed by a broker-dealer at prices ranging from $255.380 to $256.340 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 8. Weighted average sale price. Reporting person sold 9,538 shares through a trade order executed by a broker-dealer at prices ranging from $256.410 to $257.410 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 9. Weighted average sale price. Reporting person sold 3,142 shares through a trade order executed by a broker-dealer at prices ranging from $257.420 to $258.390 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 10. Weighted average sale price. Reporting person sold 1,800 shares through a trade order executed by a broker-dealer at prices ranging from $258.440 to $259.345 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 11. Weighted average sale price. Reporting person sold 2,700 shares through a trade order executed by a broker-dealer at prices ranging from $259.450 to $260.310 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 12. Weighted average sale price. Reporting person sold 3,900 shares through a trade order executed by a broker-dealer at prices ranging from $260.820 to $261.820 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 13. Weighted average sale price. Reporting person sold 7,789 shares through a trade order executed by a broker-dealer at prices ranging from $261.840 to $262.830 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 14. Weighted average sale price. Reporting person sold 11,674 shares through a trade order executed by a broker-dealer at prices ranging from $262.850 to $263.840 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 15. Weighted average sale price. Reporting person sold 11,188 shares through a trade order executed by a broker-dealer at prices ranging from $263.860 to $264.830 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 16. Weighted average sale price. Reporting person sold 3,043 shares through a trade order executed by a broker-dealer at prices ranging from $264.880 to $265.790 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 17. Weighted average sale price. Reporting person sold 1,400 shares through a trade order executed by a broker-dealer at prices ranging from $265.945 to $266.820 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 18. Weighted average sale price. Reporting person sold 7,448 shares through a trade order executed by a broker-dealer at prices ranging from $267.295 to $268.260 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 19. Weighted average sale price. Reporting person sold 353 shares through a trade order executed by a broker-dealer at prices ranging from $268.395 to $268.920 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
| 20. Deferred shares held by Trustee of grantor trust in which reporting person has a pecuniary interest only. |
| 21. The option, representing a right to buy shares, became exercisable in three substantially equal annual installments beginning on February 15, 2013. |
| Remarks: |
| W. Scott Seeley (Attorney-in-Fact) | 03/03/2020 | |
| ** 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 Number. | ||