0001562180-18-001505.txt : 20180306 0001562180-18-001505.hdr.sgml : 20180306 20180306165112 ACCESSION NUMBER: 0001562180-18-001505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180302 FILED AS OF DATE: 20180306 DATE AS OF CHANGE: 20180306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TARRY JOSEPH DON CENTRAL INDEX KEY: 0001637037 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32462 FILM NUMBER: 18670587 MAIL ADDRESS: STREET 1: 414 SILVER AVE SW MS 1205 CITY: ALBUQUERQUE STATE: NM ZIP: 87102-3289 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 2018-03-02 false 0001108426 PNM RESOURCES INC PNM 0001637037 TARRY JOSEPH DON CORPORATE HEADQUARTERS MS1275 ALBUQUERQUE NM 87158-1275 false true false false VP, Finance and Controller Common Stock 2018-03-02 4 A false 3552.00 A 13845.00 D Common Stock 2018-03-02 4 F false 1324.00 35.85 D 12521.00 D Common Stock 2018-03-04 4 M false 425.00 A 12946.00 D Common Stock 2018-03-04 4 F false 125.00 35.85 D 12821.00 D Common Stock 2018-03-05 4 S false 2954.00 35.70 D 9867.00 D Restricted Stock Rights 2018-03-02 4 A false 1118.00 0.00 A Common Stock 1118.00 3400.00 D Restricted Stock Rights 2018-03-04 4 M false 425.00 0.00 D Common Stock 425.00 2975.00 D The performance shares were earned as of December 31, 2017 for the 2015-2017 performance period, and settled on March 2, 2018. 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 4, 2018. 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 beginning one year from March 7, 2018. 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 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). /s/ Laurie S. Monfiletto, POA for Joseph Don Tarry 2018-03-06