-----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, JiGUORpiXvjVs3Sw8lTA+65wMmlktxYyzTCQPQxvDwty/XlBQDVa/n54XLoN1Wla LdUiMZmoxyMUO+WmFXBK3g== 0001042948-02-000005.txt : 20020414 0001042948-02-000005.hdr.sgml : 20020414 ACCESSION NUMBER: 0001042948-02-000005 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020129 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PUBLIC SERVICE CO OF NEW MEXICO CENTRAL INDEX KEY: 0000081023 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 850019030 STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06986 FILM NUMBER: 02520846 BUSINESS ADDRESS: STREET 1: ALVARADO SQUARE, MS2706 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 BUSINESS PHONE: 5058482700 COMPANY DATA: COMPANY CONFORMED NAME: ORTIZ PATRICK T CENTRAL INDEX KEY: 0001042954 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] OFFICER STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: ALVARADO SQUARE, MS 2822 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 BUSINESS PHONE: 5052412750 MAIL ADDRESS: STREET 1: ALVARADO SQUARE M S 2822 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 5 1 edgar.txt FORM 5 - 12/31/01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person ORTIZ, PATRICK T ALVARADO SQUARE M. S. 2822 ALBUQUERQUE, NM 87158 BERNALILLO 2. Issuer Name and Ticker or Trading Symbol PNM RESOURCES, INC. PNM 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 12/31/01 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) SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY 7. Individual or Joint/Group Reporting (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. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |01/05/|L |11.5596 |A |25.9274 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |02/06/|L |8.2051 |A |24.35 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |03/06/|L |7.6659 |A |26.0645 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |04/05/|L |6.6923 |A |29.86 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |05.04/|L |5.5119 |A |36.26 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |06/06/|L |5.5552 |A |35.9776 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |07/06/|L |9.2037 |A |32.5707 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |08/06/|L |6.7540 |A |29.5872 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |09/06/|L |6.9015 |A |28.9541 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/04/|L |8.0567 |A |24.7992 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |1106/0|L |8.1271 |A |24.584 | | | | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |12/05/|L |11.2646 |A |26.6071 |(1) (2) 2929 | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) INCLUDES 10.3145 SHARES ACQUIRED UNDER PNM RESOURCES, INC.'S DIVIDEND REINVESTMENT PLAN. (2) BETWEEN MAY 30, 2001 AND DECEMBER 31, 2001 THE REPORTING PERSON ACQUIRED 991 SHARES OF PNM COMMON STOCK UNDER THE PNM RESOURECES, INC.'S 401 (K) PLAN. THE INFORMATION IN THIS REPORT IS BASED ON A PLAN STATEMENT DATED AS OF DECEMBER 31,2001. -----END PRIVACY-ENHANCED MESSAGE-----