SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/07/2018 | 3. Issuer Name and Ticker or Trading Symbol XCEL ENERGY INC [ XEL ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 51,548.384 | D | |
Common Stock | 3,946.215(1) | I | 401 (k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | (2) | (2) | Common Stock | 2,799.307 | (3) | D | |
Restricted Stock Units | (2) | (2) | Common Stock | 2,637.546 | (4) | D | |
Restricted Stock Units | (2) | (2) | Common Stock | 2,172.107 | (5) | D | |
Phantom Shares | (6) | (6) | Common Stock | 1,049.712 | (6) | D |
Explanation of Responses: |
1. Estimate of the number of shares held in the Xcel Energy stock fund under the Xcel Energy 401(k) Savings Plan as of the most recent plan statement (April 27, 2018). This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Xcel Energy stock. |
2. Upon vesting, each restricted stock unit may be settled in one share of Xcel Energy common stock or in the cash value thereof, or a combination of cash and shares, in the discretion of the Governance, Compensation and Nominating Committee. |
3. Award vests on Dec. 31, 2018. |
4. Award vests on Dec. 31, 2019. |
5. Award vests on Dec. 31, 2020. |
6. Shares of phantom stock held under the Xcel Energy Deferred Compensation Plan. Shares of phantom stock become payable in cash in accordance with the reporting person's distribution election made under the Xcel Energy Deferred Compensation Plan. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Xcel Energy stock. |
Kristin L. Wesltund Attorney in Fact for Darla Figoli | 05/09/2018 | |
** 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 5 (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. |