-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, L8jC30jtgU+xf9W8SkMc/Z3fX4SrO9bt+x4ojAkYJ093XXVfwSf+uGCZueKKZLv+ xcOuNg1M9Q/vMfu6Wcd1IQ== 0000950147-00-000228.txt : 20000215 0000950147-00-000228.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950147-00-000228 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PINNACLE WEST CAPITAL CORP CENTRAL INDEX KEY: 0000764622 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 860512431 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-08962 FILM NUMBER: 542657 BUSINESS ADDRESS: STREET 1: 400 E VAN BUREN ST PO BOX 52132 STREET 2: P O BOX 52132 CITY: PHOENIX STATE: AZ ZIP: 85072-2132 BUSINESS PHONE: 6023792616 MAIL ADDRESS: STREET 1: 400 E VAN BUREN ST STREET 2: PO BOX 52132 CITY: PHOENIX STATE: AZ ZIP: 85072-2132 FORMER COMPANY: FORMER CONFORMED NAME: AZP GROUP INC DATE OF NAME CHANGE: 19870506 COMPANY DATA: COMPANY CONFORMED NAME: SCHULTZ MARTIN L CENTRAL INDEX KEY: 0001091919 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: C/O IMPERIAL FINANCIAL PRINTING STREET 2: 210 S 4TH AVE CITY: PHOENIX STATE: AZ ZIP: 85003 BUSINESS PHONE: 6024952101 MAIL ADDRESS: STREET 1: IMPERIAL FINANCIAL PRINTING STREET 2: 210 S 4TH AVE CITY: PHOENIX STATE: AZ ZIP: 85003 5 1 FORM 5 FOR MARTIN SHULTZ ====== ------------------------------------- FORM 5 OMB APPROVAL ====== ------------------------------------- [ ] Check this box if no longer OMB Number 3235-0362 subject to Section 16. Form 4 Expires: December 31, 2001 or Form 5 obligations may continue. Estimated average burden See Instruction 1(b). hours per response.............. 1.0 [ ] Form 3 Holdings Reported ------------------------------------- [ ] Form 4 Transactions Reported UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ================================================================================ 1. Name and Address of Reporting Person* Shultz Martin - -------------------------------------------------------------------------------- (Last) (First) (Middle) 400 North Fifth Street - -------------------------------------------------------------------------------- (Street) Phoenix AZ 85004 - -------------------------------------------------------------------------------- (City (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Pinnacle West Capital Corporation (PNW) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ================================================================================ 4. Statement for Month/Year 12-31-99 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Vice President --------------------------------------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================
========================================================================================================================= TABLE I--NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ========================================================================================================================= 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action action Disposed of (D) Securities Ben- ship Indirect Date Code (Instr. 3, 4 and 5) eficially Owned Form: Di- Beneficial (Month/ (Instr.8) at end of rect (D) Ownership Day/ ---------------------------- Issuer's Fiscal or Indi- (Instr. 4) Year) (A) or Year rect (I) Amount (D) Price (Instr. 3 and 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------ Common Stock 11-17-99 A 1,000 (A) D - ------------------------------------------------------------------------------------------------------------------------ Common Stock 11-29-99 F 137 (D) $33.41 6,240.276 D - ------------------------------------------------------------------------------------------------------------------------ Common Stock 5,390 I by 401(k) Plan ======================================================================================================================== * If the form is filed by more than one reporting person, see Instruction 4(b)(v). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. ================================================================================================= Table II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) ================================================================================================= 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriva- (Instr. 3) sion or action tion tive Securities Ac- Exer- Date Code quired (A) or Dis- cise (Month/ (Instr.8) posed of (D) Price of Day/ (Instr. 3,4, and 5) Deriva- Year) tive Se- ------------------- curity (A) (D) - ------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) $34.66 11-17-99 A 5,000 - ------------------------------------------------------------------------------------------------- 6. Date Exercis- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Nature able and Expi- Underlying Securities of of De- ship of of Indi- ration Date (Instr. 3 and 4) De- rivative Deriva- rect Ben- (Month/Day/ riva- Securi- tive Se- eficial Year) tive ties Ben- curity: Owner- - ------------------ ------------------------- Secu- eficially Direct ship Date Expira- Amount or rity Owned at (D) or (Instr.4) Exer- tion Number of (Instr. 5) End of Year Indirect cisable Date Title Shares Year(Instr.4) (I)(Instr.4) - --------------------------------------------------------------------------------------------------- (1) 11-17-09 Common Stock 5,000 5,000 D ===================================================================================================
Explanation of Responses: (1) The option becomes exercisable 1/3 of the grant per year commencing 11-17-00. Martin Shultz February 14, 2000 ------------------------------- ----------------- Martin Shultz Date **Signature of Reporting Person **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----