0001562180-19-001837.txt : 20190311
0001562180-19-001837.hdr.sgml : 20190311
20190311140336
ACCESSION NUMBER: 0001562180-19-001837
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190307
FILED AS OF DATE: 20190311
DATE AS OF CHANGE: 20190311
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: COLLAWN PATRICIA K
CENTRAL INDEX KEY: 0001083786
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931]
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32462
FILM NUMBER: 19671852
MAIL ADDRESS:
STREET 1: 414 SILVER AVE SW MS 1275
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87102-3289
FORMER NAME:
FORMER CONFORMED NAME: VINCENT PATRICIA K
DATE OF NAME CHANGE: 19990409
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PNM RESOURCES INC
CENTRAL INDEX KEY: 0001108426
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911]
IRS NUMBER: 850019030
STATE OF INCORPORATION: NM
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 414 SILVER AVE. SW
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87102-3289
BUSINESS PHONE: 5052412700
MAIL ADDRESS:
STREET 1: 414 SILVER AVE. SW
STREET 2: ATTN: MS 0905 - CATHY MARTINEZ
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87102-3289
FORMER COMPANY:
FORMER CONFORMED NAME: MANZANO CORP
DATE OF NAME CHANGE: 20000303
4
1
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0001108426
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COLLAWN PATRICIA K
CORPORATE HEADQUARTERS
MS 1275
ALBUQUERQUE
NM
87158-1275
true
true
false
false
CHAIRMAN, PRESIDENT AND CEO
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Phantom Stock Shares
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I
PNM Common Stock Fund - PNM Resources Executive Savings Plan
Represents the portions of previous awards of restricted stock rights that vested effective as of March 7, 2019.
Represents shares withheld by PNM Resources, Inc. to satisfy the tax withholding obligations arising in connection with the settlement of equity awards. The company utilizes a modified "share withholding" approach in connection with settling equity awards, in which it (i) withholds (in cash) an amount to satisfy tax withholding obligations and remits such amount to the relevant tax authorities, and (ii) directs a designated broker to purchase on the open market the number of shares of the company's common stock that can be acquired with the after-tax value of equity awards at the prevailing market price. Only these "net shares" are delivered to the recipient of the equity awards.
Represents shares withheld by PNM Resources, Inc. to satisfy the options cost and tax withholding obligations.
Each restricted stock right represents a contingent right to receive one share of PNM Resources, Inc. common stock.
The restricted stock units vest in three equal annual installments. Vested shares will be delivered to the reporting person on the applicable vesting dates (or, if the company is in a blackout period under its insider trading policy on any vesting date, at a later date after such blackout period ends).
Based on the closing price on the date of the grant.
The options vested in three equal annual installments from grant date and are fully vested.
The options expire 10 years from grant date.
The security converts to common stock on a one-for-one basis.
The phantom stock shares were acquired under the PNM Resources, Inc. Executive Savings Plan II, and will settle upon the Reporting Person's retirement or other termination of service.
Total represents phantom stock shares of PNM Resources, Inc. Common Stock acquired under the PNM Resources, Inc. Executive Savings Plan II as of February 28, 2019.
/s/ Angela L. Pino, POA for Patricia K. Collawn
2019-03-11