0001562180-21-002108.txt : 20210309 0001562180-21-002108.hdr.sgml : 20210309 20210309184919 ACCESSION NUMBER: 0001562180-21-002108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210305 FILED AS OF DATE: 20210309 DATE AS OF CHANGE: 20210309 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: 21727496 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 2021-03-05 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 2021-03-05 4 M false 66770.00 0.00 A 625288.00 D Common Stock 2021-03-05 4 F false 30208.00 47.42 D 595080.00 D Common Stock 2021-03-05 4 M false 5171.00 0.00 A 600251.00 D Common Stock 2021-03-05 4 F false 2340.00 47.42 D 597911.00 D Common Stock 2021-03-05 4 M false 4349.00 0.00 A 602260.00 D Common Stock 2021-03-05 4 F false 1968.00 47.42 D 600292.00 D Common Stock 2021-03-05 4 M false 4217.00 0.00 A 604509.00 D Common Stock 2021-03-05 4 F false 1909.00 47.42 D 602600.00 D Restricted Stock Rights 2021-03-05 4 A false 14590.00 0.00 A Common Stock 14590.00 41111.00 D Restricted Stock Rights 2021-03-05 4 M false 5171.00 0.00 D Common Stock 5171.00 35940.00 D Restricted Stock Rights 2021-03-05 4 M false 4349.00 0.00 D Common Stock 4349.00 31591.00 D Restricted Stock Rights 2021-03-05 4 M false 4217.00 0.00 D Common Stock 4217.00 27374.00 D Phantom Stock Shares Common Stock 83157.00 83157.00 I PNM Common Stock Fund - PNM Resources Executive Savings Plan II The performance shares were earned as of December 31, 2020 for the 2018-2020 performance period, and settled on March 5, 2020. 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 the portions of previous awards of restricted stock rights that vested effective as of March 5, 2021. 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). 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 26, 2021 /s/ Angela L. Pino, POA for Patricia K. Collawn 2021-03-09