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 primarydocument.xml PRIMARY DOCUMENT X0306 4 2019-03-07 false 0001108426 PNM RESOURCES INC PNM 0001083786 COLLAWN PATRICIA K CORPORATE HEADQUARTERS MS 1275 ALBUQUERQUE NM 87158-1275 true true false false CHAIRMAN, PRESIDENT AND CEO Common Stock 2019-03-07 4 M false 4801.00 A 464848.00 D Common Stock 2019-03-07 4 F false 2125.00 44.94 D 462723.00 D Common Stock 2019-03-07 4 M false 4628.00 A 467351.00 D Common Stock 2019-03-07 4 F false 2048.00 44.94 D 465303.00 D Common Stock 2019-03-07 4 M false 5172.00 A 470475.00 D Common Stock 2019-03-07 4 F false 2289.00 44.94 D 468186.00 D Common Stock 2019-03-08 4 M false 28000.00 12.22 A 496186.00 D Common Stock 2019-03-08 4 F false 16550.00 45.86 D 479636.00 D Common Stock 2019-03-08 4 M false 20000.00 12.40 A 499636.00 D Common Stock 2019-03-08 4 F false 11865.00 45.86 D 487771.00 D Common Stock 2019-03-08 4 M false 10000.00 12.22 A 497771.00 D Common Stock 2019-03-08 4 F false 5911.00 45.86 D 491860.00 D Common Stock 2019-03-08 4 M false 4000.00 12.48 A 495860.00 D Common Stock 2019-03-08 4 F false 2377.00 45.86 D 493483.00 D Restricted Stock Rights 2019-03-07 4 M false 4801.00 0.00 D Common Stock 4801.00 37817.00 D Restricted Stock Rights 2019-03-07 4 M false 4628.00 0.00 D Common Stock 4628.00 33189.00 D Restricted Stock Rights 2019-03-07 4 M false 5172.00 0.00 D Common Stock 5172.00 28017.00 D Stock Options 2019-03-08 4 M false 28000.00 0.00 D Common Stock 28000.00 34000.00 D Stock Options 2019-03-08 4 M false 20000.00 0.00 D Common Stock 20000.00 14000.00 D Stock Options 2019-03-08 4 M false 10000.00 0.00 D Common Stock 10000.00 4000.00 D Stock Options 2019-03-08 4 M false 4000.00 0.00 D Common Stock 4000.00 0.00 D Phantom Stock Shares Common Stock 79211.00 79211.00 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