UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 2,799.307 | $ (3) | D | Â |
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 2,637.546 | $ (4) | D | Â |
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 2,172.107 | $ (5) | D | Â |
Phantom Shares | Â (6) | Â (6) | Common Stock | 1,049.712 | $ (6) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Figoli Darla 414 NICOLLET MALL MINNEAPOLIS, MN 55401 |
 |  |  SVP, Chief Human Resources Off |  |
Kristin L. Wesltund Attorney in Fact for Darla Figoli | 05/09/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(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. |