0001108426-15-000028.txt : 20150312 0001108426-15-000028.hdr.sgml : 20150312 20150312172356 ACCESSION NUMBER: 0001108426-15-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150310 FILED AS OF DATE: 20150312 DATE AS OF CHANGE: 20150312 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SATEGNA THOMAS G CENTRAL INDEX KEY: 0001269073 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32462 FILM NUMBER: 15696888 MAIL ADDRESS: STREET 1: ALVARADO SQUARE MS 0406 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 4 1 wf-form4_142619542623086.xml FORM 4 X0306 4 2015-03-10 0 0001108426 PNM RESOURCES INC PNM 0001269073 SATEGNA THOMAS G CORPORATE HEADQUARTERS MS 1275 ALBUQUERQUE NM 87158-1275 0 1 0 0 VP AND CORP CNTRL Common Stock 2015-03-10 4 S 0 5565 27.44 D 0 D Common Stock 2015-03-12 4 M 0 6000 27.52 A 6000 D Common Stock 2015-03-12 4 S 0 6000 28.02 D 0 D Phantom Stock Shares 2015-03-10 4 I 0 6993.605 D Common Stock 6993.605 6201.873 I PNM Common Stock Fund - PNM Resources Executive Savings Plan II Restricted Stock Rights Common Stock 2384.0 2384 D Stock Options 27.52 2015-03-12 4 M 0 6000 0 D Common Stock 6000.0 6000 D Based on the closing price on the date of the grant. The phantom stock shares acquired under the PNM Resources, Inc. Executive Savings Plan II convert to common stock on a one-for-one basis. Mr. Sategna exercised his right to transfer the value of a portion of his phantom stock shares acquired under the PNM Resources, Inc. Executive Savings Plan II into an alternative investment fund. Total represents phantom stock shares of PNM Resources, Inc. Common Stock held under the PNM Resources, Inc. Executive Savings Plan II as of March 10, 2015 (after giving effect to the transfer described in footnote 1 above). 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 from the grant dates. 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). Stock options were awarded on multiple dates. The exercise price associated with each stock option award was based on the closing price of PNM Resources, Inc. common stock on the date of the grant. The options expire 10 years from the grant date. Jim Acosta, POA for Thomas G. Sategna 2015-03-12