Filing Details
- Accession Number:
- 0001108426-13-000041
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-13 17:12:41
- Reporting Period:
- 2013-03-13
- Filing Date:
- 2013-03-13
- Accepted Time:
- 2013-03-13 17:12:41
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1108426 | Pnm Resources Inc | PNM | Electric Services (4911) | 850019030 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1269073 | G Thomas Sategna | Corporate Headquarters Ms 1275 Albuquerque NM 87158-1275 | Vp And Corp Cntrl | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2013-03-13 | 4,691 | $23.13 | 1 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options | $0.00 | 18,000 | 18,000 | Direct | ||
Common Stock | Phantom Stock Shares | $0.00 | 12,490 | 12,490 | Indirect | ||
Common Stock | Restricted Stock Rights | $0.00 | 5,245 | 5,245 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
18,000 | 18,000 | Direct | |
12,490 | 12,490 | Indirect | |
5,245 | 5,245 | Direct |
Footnotes
- Based on the closing price on the date of the grant.
- The options vest in three equal annual installments from grant date of issuance.
- The options expire 10 years from grant date.
- The security converts to common stock on a one-for-one basis.
- The phantom stock shares were acquired under the PNM Resources, Inc. Executive Savings Plan, and will settle upon the Reporting Person's retirement or other termination of service.
- Total represents phantom stock shares of PNM Resources, Inc. Common Stock acquired under the PNM Resources, Inc. Executive Savings Plan as of March 6, 2013.
- Each restricted stock right represents a contingent right to receive one share of PNM Resources, Inc. common stock.
- The restricted stock units vest in three equal annual installments from grant date of issuance. Vested shares will be delivered to the reporting person on the applicable vesting dates (or, if the company is in a blackout period under its insider trading policy on any vesting date, at a later date after such blackout period ends).