-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, A2BheatnXPGd61CDo2ZBRXVooU923qSj4LCdtufrYJSFZJNCIdZPLFpLNVUyUiZj 62EdkWFlhT1UNhy1QrBZOw== 0001042948-02-000080.txt : 20020912 0001042948-02-000080.hdr.sgml : 20020912 20020912125757 ACCESSION NUMBER: 0001042948-02-000080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020912 FILED AS OF DATE: 20020912 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PNM RESOURCES CENTRAL INDEX KEY: 0001108426 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 850019030 STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-32170 FILM NUMBER: 02762298 BUSINESS ADDRESS: STREET 1: ALVARADO SQUARE STREET 2: NEW MEXICO CITY: ALBUQUERQUE STATE: NM ZIP: 87158 BUSINESS PHONE: 5052412700 MAIL ADDRESS: STREET 1: ALVARADO SQUARE CITY: ALBUQUERQUE STATE: NM ZIP: 87158 FORMER COMPANY: FORMER CONFORMED NAME: MANZANO CORP DATE OF NAME CHANGE: 20000303 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: STERBA JEFF E CENTRAL INDEX KEY: 0001042959 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] RELATIONSHIP: OFFICER STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: ALVARADO SQUARE, MS 2806 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 BUSINESS PHONE: 5052412750 MAIL ADDRESS: STREET 1: ALVARADO SQUARE M S 2806 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 4 1 edgar.txt FORM 4 - 09/12/02 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person STERBA, JEFFRY E ALVARADO SQUARE M. S. 2824 ALBUQUERQUE, NM 87158 USA 2. Issuer Name and Ticker or Trading Symbol PNM RESOURCES, INC. PNM 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 09/12/02 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) CHAIRMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |01/07/|L |V|14.2298 |A |$28.0850 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |01/18/|L |V|6.8434 |A |$29.2004 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |02/08/|L |V|7.5829 |A |$26.3500 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |02/21/|L |V|7.6938 |A |$25.9700 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |03/06/|L |V|7.3589 |A |$27.1729 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |03/20/|L |V|7.0877 |A |$28.1930 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |04/04/|L |V|13.1328 |A |$30.4332 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |04/18/|L |V|14.2039 |A |$28.1362 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |05/08/|L |V|14.0228 |A |$28.5000 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |05/20/|L |V|14.7520 |A |$27.0900 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |06/06/|L |V|31.3205 |A |$25.5174 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |06/20/|L |V|16.2503 |A |$24.5900 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |07/05/|L |V|16.9169 |A |$23.6200 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |07/15/|L |V|100.0000 |A | | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |07/18/|L |V|21.0804 | A |$18.9500 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |08/08/|L |V|20.0250 |A |$19.9500 | |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |08/20/|L |V|19.3692 |A |$20.6263 |(1) 3,963 |D | | |02 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| OPTIONS | |02/18|A |V|100,000 |A |(2) |02/18|COMMON STOCK|100,000| |425,000 |D | | | |/02 | | | | | |/12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| PHANTON STOCK UNITS |1 FOR 1 |07/31|A |V|1,544 |A |(3) |(3) |COMMON STOCK|1,544 | |1,544 |I |(3) | | |/02 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) TOTAL INCLUDES 5 SHARES ACQUIRED UNDER THE PNM RESOURCES, INC. DIVIDEND REINVESTMENT PLAN AND 3,366 ACQUIRED UNDER THE PNM RESOURCES, INC. 401(k) PLAN. THE INFORMATION IN THIS REPORT IS BASED ON A PLAN STATEMENT DATED 7/31/02. (2) THE OPTION VESTS IN THREE EQUAL ANNUAL INSTALLMENTS BEGINNING FEBRUARY 18, 2003. (3) THE PHANTOM STOCK UNITS WERE ACQUIRED UNDER PNM RESOURCES, INC. EXECUTIVE SAVINGS PLAN AND WILL BE SETTLED UPON THE REPORTING PERSON'S RETIREMENT OR OTHER TERMINATION OF SERVICE. -----END PRIVACY-ENHANCED MESSAGE-----