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XEL

XCEL ENERGY INC

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3042
SEC CIK
0000072903
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828

Last 12 months

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0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202602
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 16, 2017 Filed May 17, 2017 20:25 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5.486 $45.57 Strike: $0.00 $250.00
Disclosure

SEC source: 0001140361-17-021164 · doc1.xml · derivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,590.71

Underlying: Common Stock · 5.486 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
May 16, 2017 Filed May 17, 2017 20:21 UTC
Clark Christopher BPresident, NSPM
GrantPhantom Stock · Derivative 9.326 $45.57 $424.99
Disclosure

SEC source: 0001140361-17-021157 · doc1.xml · derivative · entry 1

Clark Christopher B · CIK 0001629899 · President, NSPM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177.587

Underlying: Common Stock · 9.326 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
May 16, 2017 Filed May 18, 2017 21:50 UTC
Poferl Judy M.SVP, Corp Secretary, Exec Svcs
OtherPhantom Stock · Derivative 5,442.242 $45.57 $248,002.97
Disclosure

SEC source: 0001140361-17-021411 · doc1.xml · derivative · entry 1

Poferl Judy M. · CIK 0001471190 · SVP, Corp Secretary, Exec Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,696.126

Underlying: Common Stock · 5,442.242 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
April 28, 2017 Filed May 3, 2017 01:29 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5.549 $45.05 Strike: $0.00 $249.98
Disclosure

SEC source: 0001140361-17-017979 · doc1.xml · derivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,584.725

Underlying: Common Stock · 5.549 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
April 28, 2017 Filed May 3, 2017 01:33 UTC
Clark Christopher BPresident, NSPM
GrantPhantom Stock · Derivative 9.434 $45.05 $425.00
Disclosure

SEC source: 0001140361-17-017980 · doc1.xml · derivative · entry 1

Clark Christopher B · CIK 0001629899 · President, NSPM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168.238

Underlying: Common Stock · 9.434 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:25 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5.546 $45.08 Strike: $0.00 $250.01
Disclosure

SEC source: 0001140361-17-016206 · doc1.xml · derivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,359.696

Underlying: Common Stock · 5.546 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:25 UTC
Clark Christopher BPresident, NSPM
GrantPhantom Stock · Derivative 9.428 $45.08 $425.01
Disclosure

SEC source: 0001140361-17-016205 · doc1.xml · derivative · entry 1

Clark Christopher B · CIK 0001629899 · President, NSPM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157.803

Underlying: Common Stock · 9.428 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:17 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5.624 $44.45 Strike: $0.00 $249.99
Disclosure

SEC source: 0001140361-17-014713 · doc1.xml · derivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,354.377

Underlying: Common Stock · 5.624 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:15 UTC
Clark Christopher BPresident, NSPM
GrantPhantom Stock · Derivative 9.561 $44.45 $424.99
Disclosure

SEC source: 0001140361-17-014711 · doc1.xml · derivative · entry 1

Clark Christopher B · CIK 0001629899 · President, NSPM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148.385

Underlying: Common Stock · 9.561 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 28, 2017 Filed Mar 30, 2017 16:06 UTC GrantStock Equivalent Units · Derivative 737.101 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001140361-17-013884 · doc1.xml · derivative · entry 1

BOUDREAUX GAIL · CIK 0001287920 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,258.684

Underlying: Common Stock · 737.101 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F2 · shares: Of the 737.101 stock equivalent units, 614.25 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 122.85 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F2 · price: Of the 737.101 stock equivalent units, 614.25 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 122.85 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F3 · balance_after: Includes 343.970 stock equivalent units acquired pursuant to the reinvestment of dividend equivalents during the current quarter.

Read SEC document
March 28, 2017 Filed Mar 30, 2017 16:17 UTC
Williams KimDirector
GrantStock Equivalent Units · Derivative 787.358 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001140361-17-013896 · doc1.xml · derivative · entry 1

Williams Kim · CIK 0001375725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,526.828

Underlying: Common Stock · 787.358 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F2 · shares: Of the 787.358 stock equivalent units, 656.132 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 131.226 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F2 · price: Of the 787.358 stock equivalent units, 656.132 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 131.226 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F3 · balance_after: Includes 576.211 stock equivalent units acquired pursuant to the reinvestment of dividend equivalents during the current quarter.

Read SEC document
March 28, 2017 Filed Mar 30, 2017 16:14 UTC GrantStock Equivalent Units · Derivative 636.587 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001140361-17-013894 · doc1.xml · derivative · entry 1

WESTERLUND DAVID A · CIK 0001205948 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,882.086

Underlying: Common Stock · 636.587 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F2 · shares: Of the 636.587 stock equivalent units, 530.489 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 106.098 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F2 · price: Of the 636.587 stock equivalent units, 530.489 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 106.098 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F3 · balance_after: Includes 837.389 stock equivalent units acquired pursuant to the reinvestment of dividend equivalents during the current quarter.

Read SEC document
March 28, 2017 Filed Mar 30, 2017 16:12 UTC GrantStock Equivalent Units · Derivative 837.614 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001140361-17-013890 · doc1.xml · derivative · entry 1

Policinski Christopher J. · CIK 0001476403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,568.691

Underlying: Common Stock · 837.614 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F2 · shares: Of the 837.614 stock equivalent units, 698.012 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 139.602 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F2 · price: Of the 837.614 stock equivalent units, 698.012 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 139.602 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F3 · balance_after: Includes 559.193 stock equivalent units acquired pursuant to the reinvestment of dividend equivalents during the current quarter.

Read SEC document
March 28, 2017 Filed Mar 30, 2017 16:07 UTC GrantStock Equivalent Units · Derivative 703.596 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001140361-17-013886 · doc1.xml · derivative · entry 1

OBRIEN RICHARD T · CIK 0001179997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,709.553

Underlying: Common Stock · 703.596 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F2 · shares: Of the 703.596 stock equivalent units, 586.33 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 117.266 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F2 · price: Of the 703.596 stock equivalent units, 586.33 were granted at a price of $44.77 per unit in connection with the reporting person's election to defer receipt of quarterly cash director retainers, and 117.266 were granted at no cost to the reporting person as a 20% premium on the amount of such retainer.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of a reporting person's service as a director; fractional units are payable at such time in cash.

F3 · balance_after: Includes 298.789 stock equivalent units acquired pursuant to the reinvestment of dividend equivalents during the current quarter.

Read SEC document
March 15, 2017 Filed Mar 17, 2017 23:01 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5.675 $44.05 Strike: $0.00 $249.98
Disclosure

SEC source: 0001140361-17-012660 · doc1.xml · derivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,348.369

Underlying: Common Stock · 5.675 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 15, 2017 Filed Mar 17, 2017 22:58 UTC
Clark Christopher BPresident, NSPM
GrantPhantom Stock · Derivative 9.648 $44.05 $424.99
Disclosure

SEC source: 0001140361-17-012658 · doc1.xml · derivative · entry 1

Clark Christopher B · CIK 0001629899 · President, NSPM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138.809

Underlying: Common Stock · 9.648 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:25 UTC
FOWKE BENJAMIN G S IIIDirector · Chairman, President and CEO
Tax withholdingCommon Stock 7,490.983 $43.71 $327,430.87
Disclosure

SEC source: 0001140361-17-010529 · doc1.xml · nonDerivative · entry 1

FOWKE BENJAMIN G S III · CIK 0001206908 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 553,780.409

F1 · balance_after: Withholding of stock to satisfy tax withholding obligation on vesting of an award of restricted stock under the Xcel Energy Executive Annual Incentive Award Program that were included in the common stock holdings reported by the reporting person on Form 4 filed on February 23, 2017. A fractional share interest was settled in cash in connection with the vesting of the restricted stock award and the withholding of shares for taxes.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:24 UTC
Larson Kent TEVP & Group Pres, Operations
Tax withholdingCommon Stock 2,419.905 $43.71 $105,774.05
Disclosure

SEC source: 0001140361-17-010527 · doc1.xml · nonDerivative · entry 1

Larson Kent T · CIK 0001530618 · EVP & Group Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,184.541

F1 · balance_after: Withholding of stock to satisfy tax withholding obligation on vesting of an award of restricted stock under the Xcel Energy Executive Annual Incentive Award Program that were included in the common stock holdings reported by the reporting person on Form 4 filed on February 23, 2017. A fractional share interest was settled in cash in connection with the vesting of the restricted stock award and the withholding of shares for taxes.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:23 UTC
McDaniel Marvin E. Jr.EVP, Grp Pres, Utilities & CAO
Tax withholdingCommon Stock 2,322.772 $43.71 $101,528.36
Disclosure

SEC source: 0001140361-17-010526 · doc1.xml · nonDerivative · entry 1

McDaniel Marvin E. Jr. · CIK 0001471084 · EVP, Grp Pres, Utilities & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,979.051

F1 · balance_after: Withholding of stock to satisfy tax withholding obligation on vesting of an award of restricted stock under the Xcel Energy Executive Annual Incentive Award Program that were included in the common stock holdings reported by the reporting person on Form 4 filed on February 23, 2017. A fractional share interest was settled in cash in connection with the vesting of the restricted stock award and the withholding of shares for taxes.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:19 UTC
Wilensky Scott MEVP & General Counsel
Tax withholdingCommon Stock 1,688.127 $43.71 $73,788.03
Disclosure

SEC source: 0001140361-17-010524 · doc1.xml · nonDerivative · entry 1

Wilensky Scott M · CIK 0001530606 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,011.886

F1 · balance_after: Withholding of stock to satisfy tax withholding obligation on vesting of an award of restricted stock under the Xcel Energy Executive Annual Incentive Award Program that were included in the common stock holdings reported by the reporting person on Form 4 filed on February 23, 2017.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:18 UTC
Clark Christopher BPresident, NSPM
GrantPhantom Stock · Derivative 9.77 $43.50 $425.00
Disclosure

SEC source: 0001140361-17-010522 · doc1.xml · derivative · entry 1

Clark Christopher B · CIK 0001629899 · President, NSPM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129.217

Underlying: Common Stock · 9.77 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:13 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5.747 $43.50 Strike: $0.00 $249.99
Disclosure

SEC source: 0001140361-17-010516 · doc1.xml · derivative · entry 3

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,343.184

Underlying: Common Stock · 5.747 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F4 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F4 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F5 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:13 UTC
Savage Jeffrey SSVP & Controller
Tax withholdingCommon Stock 109.311 $43.71 $4,777.98
Disclosure

SEC source: 0001140361-17-010516 · doc1.xml · nonDerivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,404.435

F1 · balance_after: Withholding of stock to satisfy tax withholding obligation on vesting of an award of restricted stock under the Xcel Energy Executive Annual Incentive Award Program that were included in the common stock holdings reported by the reporting person on Form 4 filed on February 23, 2017. A fractional share interest was settled in cash in connection with the vesting of the restricted stock award and the withholding of shares for taxes.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:10 UTC GrantStock Equivalent Units · Derivative 165.457 $43.71 Strike: $0.00 $7,232.13
Disclosure

SEC source: 0001140361-17-010515 · doc1.xml · derivative · entry 1

Yohannes Daniel · CIK 0001699621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165.457

Underlying: Common Stock · 165.457 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of the reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of the reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of the reporting person's service as a director; fractional units are payable at such time in cash.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:18 UTC GrantStock Equivalent Units · Derivative 165.457 $43.71 Strike: $0.00 $7,232.13
Disclosure

SEC source: 0001140361-17-010520 · doc1.xml · derivative · entry 1

Yohannes Daniel · CIK 0001699621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165.457

Underlying: Common Stock · 165.457 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of the reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.exercise_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of the reporting person's service as a director; fractional units are payable at such time in cash.

F1 · derivative.expiration_date: Each stock equivalent unit is the economic equivalent of one share of common stock. Whole stock equivalent units are payable in shares of common stock following termination of the reporting person's service as a director; fractional units are payable at such time in cash.

Read SEC document
February 27, 2017 Filed Feb 28, 2017 23:13 UTC
Hudson David TPresident, SPS
GrantPhantom Stock · Derivative 3,755.855 $43.31 Strike: $0.00 $162,666.08
Disclosure

SEC source: 0001140361-17-009768 · doc1.xml · derivative · entry 1

Hudson David T · CIK 0001595056 · President, SPS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,952.51

Underlying: Common Stock · 3,755.855 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
February 27, 2017 Filed Feb 28, 2017 23:11 UTC
O'Connor Timothy JohnSenior VP and CNO
GrantPhantom Stock · Derivative 344.844 $43.31 Strike: $0.00 $14,935.19
Disclosure

SEC source: 0001140361-17-009764 · doc1.xml · derivative · entry 1

O'Connor Timothy John · CIK 0001570155 · Senior VP and CNO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,083.369

Underlying: Common Stock · 344.844 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive the cash value of one share of common stock.

F2 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F2 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Xcel Energy Deferred Compensation Plan (the "Plan"). Subject to certain timing restrictions and other limitations based on the source of the amount deferred, the reporting person may generally transfer some or all of the balance in the Plan's Company stock account into an alternative Plan investment account.

F3 · balance_after: The number of shares of phantom stock reflects both additional shares credited upon the deemed reinvestment of dividend equivalents as reported in the most recent report from the Plan administrator, as well as minor adjustments to the number of phantom shares credited to the reporting person's Company stock account due to the unitized nature of the Plan's Company stock fund.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Wilensky Scott MEVP & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 5,800.622 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008954 · doc1.xml · derivative · entry 5

Wilensky Scott M · CIK 0001530606 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,800.622 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Restricted stock units are settled in common stock on a one-for-one basis.

F6 · shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 5,221 units.

F7 · derivative.exercise_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F7 · derivative.expiration_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F6 · derivative.underlying_shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 5,221 units.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Wilensky Scott MEVP & General Counsel
Tax withholdingCommon Stock 18,417.271 $42.00 $773,525.38
Disclosure

SEC source: 0001140361-17-008954 · doc1.xml · nonDerivative · entry 3

Wilensky Scott M · CIK 0001530606 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,700.013

F4 · balance_after: A fractional share interest was settled in cash in connection with the settlement of restricted stock and performance share unit awards and the withholding of shares for taxes.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Wilensky Scott MEVP & General Counsel
Exercise / conversionCommon Stock 5,800.622 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008954 · doc1.xml · nonDerivative · entry 2

Wilensky Scott M · CIK 0001530606 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,119.205

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Restricted stock units are settled in common stock on a one-for-one basis.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Wilensky Scott MEVP & General Counsel
GrantCommon Stock 31,393.57 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008954 · doc1.xml · nonDerivative · entry 1

Wilensky Scott M · CIK 0001530606 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,318.583

F1 · price: Of the 31,393.57 shares, 1,488.85 were issued at a price of $42.00 per share in connection with the reporting person's election to receive a portion of his annual incentive award in shares, and 29,904.72 shares were issued at no cost as a 5% premium on the annual incentive received in shares and in settlement of performance share units.

F2 · balance_after: This amount also includes 2,762.377 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Stoering Mark EPresident, NSPW
Exercise / conversionRestricted Stock Units · Derivative 1,497.65 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008953 · doc1.xml · derivative · entry 5

Stoering Mark E · CIK 0001538687 · President, NSPW

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,497.65 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units are settled in common stock on a one-for-one basis.

F4 · shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 1,348 units.

F5 · derivative.exercise_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F5 · derivative.expiration_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F4 · derivative.underlying_shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 1,348 units.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Stoering Mark EPresident, NSPW
Tax withholdingCommon Stock 3,755.123 $42.00 $157,715.17
Disclosure

SEC source: 0001140361-17-008953 · doc1.xml · nonDerivative · entry 3

Stoering Mark E · CIK 0001538687 · President, NSPW

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,611

F2 · balance_after: A fractional share interest was settled in cash in connection with the settlement of restricted stock and performance share unit awards and the withholding of shares for taxes.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Stoering Mark EPresident, NSPW
Exercise / conversionCommon Stock 1,497.65 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008953 · doc1.xml · nonDerivative · entry 2

Stoering Mark E · CIK 0001538687 · President, NSPW

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,367.759

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units are settled in common stock on a one-for-one basis.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:58 UTC
Stoering Mark EPresident, NSPW
GrantCommon Stock 7,698.109 $42.00 $323,320.58
Disclosure

SEC source: 0001140361-17-008953 · doc1.xml · nonDerivative · entry 1

Stoering Mark E · CIK 0001538687 · President, NSPW

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,870.109

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:57 UTC
Savage Jeffrey SSVP & Controller
GrantPhantom Stock · Derivative 5,153 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008952 · doc1.xml · derivative · entry 6

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,276.711

Underlying: Common Stock · 5,153 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

F7 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").

F7 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").

F8 · balance_after: The number of shares of phantom stock reflects additional shares credited upon the deemed reinvestment of dividend equivalents as well as minor adjustments due to the unitized nature of the Plan's Issuer stock fund.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:57 UTC
Savage Jeffrey SSVP & Controller
Exercise / conversionRestricted Stock Units · Derivative 1,758.74 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008952 · doc1.xml · derivative · entry 5

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,758.74 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

F5 · shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 1,583 units.

F6 · derivative.exercise_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F6 · derivative.expiration_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F5 · derivative.underlying_shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 1,583 units.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:57 UTC
Savage Jeffrey SSVP & Controller
Tax withholdingCommon Stock 2,666.696 $42.00 $112,001.23
Disclosure

SEC source: 0001140361-17-008952 · doc1.xml · nonDerivative · entry 3

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,513.746

F3 · balance_after: A fractional share interest was settled in cash in connection with the settlement of restricted stock and performance share unit awards and the withholding of shares for taxes.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:57 UTC
Savage Jeffrey SSVP & Controller
Exercise / conversionCommon Stock 1,758.74 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008952 · doc1.xml · nonDerivative · entry 2

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,181.738

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:57 UTC
Savage Jeffrey SSVP & Controller
GrantCommon Stock 3,893.252 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008952 · doc1.xml · nonDerivative · entry 1

Savage Jeffrey S · CIK 0001530607 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,422.998

F1 · balance_after: This amount also includes 7.725 shares of stock acquired since the reporting person's last report pursuant to the reinvestment of dividends.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
Poferl Judy M.SVP, Corp Secretary, Exec Svcs
Exercise / conversionRestricted Stock Units · Derivative 2,619.779 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008951 · doc1.xml · derivative · entry 5

Poferl Judy M. · CIK 0001471190 · SVP, Corp Secretary, Exec Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,619.779 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

F5 · shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 2,358 units.

F6 · derivative.exercise_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F6 · derivative.expiration_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F5 · derivative.underlying_shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 2,358 units.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
Poferl Judy M.SVP, Corp Secretary, Exec Svcs
GrantPhantom Stock · Derivative 10,414 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008951 · doc1.xml · derivative · entry 4

Poferl Judy M. · CIK 0001471190 · SVP, Corp Secretary, Exec Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,683.712

Underlying: Common Stock · 10,414 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

F3 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").

F3 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").

F4 · balance_after: The number of shares of phantom stock reflects additional shares credited upon the deemed reinvestment of dividend equivalents as well as minor adjustments due to the unitized nature of the Plan's Issuer stock fund.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
Poferl Judy M.SVP, Corp Secretary, Exec Svcs
Tax withholdingCommon Stock 1,130.892 $42.00 $47,497.46
Disclosure

SEC source: 0001140361-17-008951 · doc1.xml · nonDerivative · entry 3

Poferl Judy M. · CIK 0001471190 · SVP, Corp Secretary, Exec Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,469.784

F2 · balance_after: A fractional share interest was settled in cash in connection with the settlement of restricted stock and performance share unit awards and the withholding of shares for taxes.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
Poferl Judy M.SVP, Corp Secretary, Exec Svcs
Exercise / conversionCommon Stock 2,619.779 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008951 · doc1.xml · nonDerivative · entry 2

Poferl Judy M. · CIK 0001471190 · SVP, Corp Secretary, Exec Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,601.209

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
Poferl Judy M.SVP, Corp Secretary, Exec Svcs
GrantCommon Stock 3,057.099 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008951 · doc1.xml · nonDerivative · entry 1

Poferl Judy M. · CIK 0001471190 · SVP, Corp Secretary, Exec Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,981.43

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
O'Connor Timothy JohnSenior VP and CNO
Exercise / conversionRestricted Stock Units · Derivative 4,490.732 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-008949 · doc1.xml · derivative · entry 6

O'Connor Timothy John · CIK 0001570155 · Senior VP and CNO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,490.732 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

F7 · shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 4,042 units.

F8 · derivative.exercise_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F8 · derivative.expiration_date: Award vested on December 31, 2016 but was settled in shares of common stock on February 21, 2017.

F7 · derivative.underlying_shares: Number of shares and units shown reflects the reinvestment of dividend equivalents since the original grant of 4,042 units.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
O'Connor Timothy JohnSenior VP and CNO
GrantPhantom Stock · Derivative 22,551 $42.00 Strike: $0.00 $947,142.00
Disclosure

SEC source: 0001140361-17-008949 · doc1.xml · derivative · entry 5

O'Connor Timothy John · CIK 0001570155 · Senior VP and CNO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,488.163

Underlying: Common Stock · 22,551 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

F5 · derivative.exercise_date: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").

F5 · derivative.expiration_date: Shares of phantom stock become payable in accordance with the reporting person's distribution election made under the Issuer's Deferred Compensation Plan (the "Plan").

F6 · balance_after: The number of shares of phantom stock reflects additional shares credited upon the deemed reinvestment of dividend equivalents as well as minor adjustments due to the unitized nature of the Plan's Issuer stock fund.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
O'Connor Timothy JohnSenior VP and CNO
Tax withholdingCommon Stock 2,707.25 $42.00 $113,704.50
Disclosure

SEC source: 0001140361-17-008949 · doc1.xml · nonDerivative · entry 3

O'Connor Timothy John · CIK 0001570155 · Senior VP and CNO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,829

F3 · balance_after: A fractional share interest was settled in cash in connection with the settlement of restricted stock and performance share unit awards and the withholding of shares for taxes.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 02:56 UTC
O'Connor Timothy JohnSenior VP and CNO
Exercise / conversionCommon Stock 4,490.732 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008949 · doc1.xml · nonDerivative · entry 2

O'Connor Timothy John · CIK 0001570155 · Senior VP and CNO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,536.449

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Restricted stock units and phantom shares are settled in common stock on a one-for-one basis.

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February 21, 2017 Filed Feb 24, 2017 02:56 UTC
O'Connor Timothy JohnSenior VP and CNO
GrantCommon Stock 2,142.717 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-008949 · doc1.xml · nonDerivative · entry 1

O'Connor Timothy John · CIK 0001570155 · Senior VP and CNO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,045.717

F1 · price: Of the 2,142.717 shares, 1,333 were issued at a price of $42.00 per share in connection with the reporting person's election to receive a portion of his annual incentive award in shares, and the rest of the shares were issued at no cost as a 5% premium on the annual incentive received in shares.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.