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XCEL ENERGY INC — Director's Dealing 2019
Feb 21, 2019
30056_dirs_2019-02-21_c2877276-db8c-41e5-8a23-463c72d646d0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: XCEL ENERGY INC (XEL)
CIK: 0000072903
Period of Report: 2019-02-19
Reporting Person: O'Connor Timothy John (SVP and CNO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-02-19 | Common Stock | A | 304.125 | — | Acquired | 10964.888 | Direct |
| 2019-02-19 | Common Stock | M | 4314.561 | — | Acquired | 15279.449 | Direct |
| 2019-02-19 | Common Stock | F | 1557.686 | $53.46 | Disposed | 13721.763 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-02-19 | Phantom Stock | $0 | A | 12637.00 | Acquired | Common Stock (12637.00) | Direct | |
| 2019-02-19 | Restricted Stock Units | $ | M | 4314.561 | Disposed | Common Stock (4314.561) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 334.543 | Indirect |
Footnotes
F1: This amount also includes 35.578 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.
F2: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.
F3: Fractional share interests relating to the settlement of restricted stock and performance share unit awards and relating to share withholding for taxes were settled in cash.
F4: Shares held in the Xcel Energy Stock Fund under the Xcel Energy 401(k) Savings Plan as of plan statement dated February 15, 2019.
F5: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").
F6: The number of shares of phantom stock reflects additional shares credited upon the deemed reinvestment of dividend equivalents as well as minor adjustments due the unitized nature of the Plan's Issuer stock fund.
F7: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 3,922 units.
F8: Award vested on December 31, 2018 but was settled in shares of common stock on February 19, 2019.