Filing Details
- Accession Number:
- 0001108426-11-000014
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-21 17:13:54
- Reporting Period:
- 2011-03-21
- Filing Date:
- 2011-03-21
- Accepted Time:
- 2011-03-21 17:13:54
- 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 |
---|---|---|---|---|---|---|---|
1159314 | A Alice Cobb | Alvarado Square Ms - 2850 Albuquerque NM 87158 | Sr Vp, Cao | 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 | Acquisiton | 2011-03-18 | 9,666 | $7.98 | 65,771 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2011-03-18 | 5,334 | $12.22 | 71,105 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-03-18 | 9,666 | $14.30 | 61,439 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-03-18 | 5,334 | $14.30 | 56,105 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-03-18 | 2,130 | $14.29 | 53,975 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options | Disposition | 2011-03-18 | 9,666 | $14.30 | 9,666 | $7.98 |
Common Stock | Stock Options | Disposition | 2011-03-18 | 5,334 | $14.30 | 5,334 | $12.22 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
71,681 | 2019-02-17 | No | 4 | M | Direct | |
66,347 | 2020-02-26 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,373 | Indirect | PNM Common Stock Fund - PNM Resources, Inc. 401(k) Plan |
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.
- Reflects the sale of vested stock which is being sold for the purpose of providing a source of funds for payment of the tax liability associated with 2011 installment vesting.
- Total represents shares of PNM Resources, Inc. Common Stock acquired under the PNM Resources, Inc. 401(k) Plan. Information is based on a plan statement dated 02/28/11.