Filing Details
- Accession Number:
- 0001108426-11-000085
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-10 17:56:47
- Reporting Period:
- 2011-11-09
- Filing Date:
- 2011-11-10
- Accepted Time:
- 2011-11-10 17:56:47
- 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 | 2011-11-09 | 18,000 | $13.17 | 72,597 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-09 | 18,000 | $18.43 | 54,597 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-11-09 | 8,677 | $18.36 | 45,920 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2011-11-09 | 18,000 | $18.43 | 18,000 | $13.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 48,347 | 2018-02-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,450 | 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.
- 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 October 31, 2011.
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