Filing Details
- Accession Number:
- 0001108426-11-000086
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-10 18:07:54
- Reporting Period:
- 2011-11-09
- Filing Date:
- 2011-11-10
- Accepted Time:
- 2011-11-10 18:07:54
- 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 |
---|---|---|---|---|---|---|---|
1350048 | N Charles Eldred | Alvarado Square Ms-2850 Albuquerque NM 87158 | Exec Vp, Cfo | 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 | 8,334 | $12.22 | 60,107 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2011-11-09 | 24,000 | $13.17 | 84,107 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-11-09 | 8,334 | $18.40 | 75,773 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-11-09 | 24,000 | $18.40 | 51,773 | 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 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options | Acquisiton | 2011-11-09 | 8,334 | $18.40 | 8,334 | $13.17 |
Common Stock | Stock Options | Acquisiton | 2011-11-09 | 24,000 | $18.40 | 24,000 | $12.22 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
90,670 | 2020-02-26 | No | 4 | M | Direct | |
66,670 | 2018-02-19 | No | 4 | O | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 980 | Indirect | PNMR Common Stock Fund - PNM Resources, Inc. 401(k) Plan |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Phantom Stock Shares | $0.00 | 5,961 | 5,961 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
5,961 | 5,961 | Indirect |
Footnotes
- Based on the closing price on the date of the grant.
- 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 10/31/11.
- The options vest in three equal annual installments from grant date of issuance.
- Total represents phantom stock shares of PNM Resources, Inc. Common Stock acquired under the PNM Resources, Inc. Executive Savings Plan. Information is based on a plan statement dated 10/31/11.
- 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.
- The security converts to common stock on a one-for-one basis.