Filing Details
- Accession Number:
- 0001108426-14-000045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-14 12:23:19
- Reporting Period:
- 2014-03-14
- Filing Date:
- 2014-03-14
- Accepted Time:
- 2014-03-14 12:23:19
- 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 | 2014-03-14 | 4,734 | $27.09 | 0 | 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 | Phantom Stock Shares | $0.00 | 12,847 | 12,847 | Indirect | ||
| Common Stock | Restricted Stock Rights | $0.00 | 2,614 | 2,614 | Direct | ||
| Common Stock | Stock Options | $0.00 | 12,000 | 12,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 12,847 | 12,847 | Indirect | |
| 2,614 | 2,614 | Direct | |
| 12,000 | 12,000 | Direct |
Footnotes
- 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 II, 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 II as of February 28, 2014.
- 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. 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).
- Based on the closing price on the date of the grant.
- The options vest in three equal annual installments from grant date.
- The options expire 10 years from grant date.
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