-----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, OcgNkbT8cmBWrWpfBhzaKbiADes9FheMUpcEVnn4UmGwFCzUk2qbzH7XbZiuVe3J BgrlvMiM40M4nmOJ/U1mXA== 0001179881-03-000003.txt : 20030131 0001179881-03-000003.hdr.sgml : 20030131 20030131150241 ACCESSION NUMBER: 0001179881-03-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030131 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ELWARD THOMAS W CENTRAL INDEX KEY: 0001179881 RELATIONSHIP: OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: FAIRLANE PLZ SOUTH STREET 2: 330 TOWN CTR DR STE 1100 CITY: DEARBORN STATE: MI ZIP: 48126 BUSINESS PHONE: 3139829354 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CMS ENERGY CORP CENTRAL INDEX KEY: 0000811156 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 382726431 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09513 FILM NUMBER: 03534382 BUSINESS ADDRESS: STREET 1: FAIRLANE PLZ S STE 1100 STREET 2: 330 TOWN CENTER DR CITY: DEARBORN STATE: MI ZIP: 48126 BUSINESS PHONE: 3134369261 MAIL ADDRESS: STREET 1: FAIRLANE PLAZA SOUTH, SUITE 1100 STREET 2: 330 TOWN CENTER DRIVE CITY: DEARBORN STATE: MI ZIP: 48126 4 1 edgar.txt FORM 4 - 12-31-2002 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Thomas W. Elward Fairlane Plaza South Suite 1100 330 Town Center Drive MI, Dearborn 48126 2. Issuer Name and Ticker or Trading Symbol CMS Energy Corporation (CMS) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Day/Year 12/31/2002 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner ( ) Officer (give title below) (X) Other (specify below) President and CEO of CMS Generation Co, an affiliate of CMS Energy 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. |2A. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Trans-|Exec- |Trans | or Disposed of (D) | Securities |ect | Beneficial Ownership | |action|ution |action| | Beneficially |(D)or | | | | | | | | A/| | Owned Following |Indir | | |Date | Date |Code|V| Amount | D | Price | Reported Trans(s)|ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock (CMS) | | | | | | | |24005 1 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock (CMS) |12/31/|1/29/ |J |V|1067 |A | |6979 |I |401(k) | | 2002 |2003 |2 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________| Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of |2.Con- |3. |3A. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Derivative |version |Trans- |Deemed|Trans-| rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | Security |or Exer |action | |action| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | |Execu-| | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| |ution | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | | |Date |Expir| | |ficially |Ind| | |tive | | | | | A/|Exer-|ation| Title and Number | |Owned Follow|ire| | |Secu- |(Month/|(Month| | | | D |cisa-|Date | of Shares | |ing Reported|ct | | |rity |Day/ |/Day/ |Code|V| Amount | |ble | | | |Trans- |(I)| | | |Year) |Year) | | | | | | | | |action(s) | | | ___________________________________________________________________________________________________________________________________| Emp Stock Opt| | | | | | | | | | Common Stoc| | |8000 |D | | ions-1998 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |12000 |D | | ions-1999 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |14000 |D | | ions-2001 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stoc| | | | | | | | | | Common Stoc| | |20000 |D | | k Options - 2| | | | | | | | | |k (CMS) | | | | | | 002 | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Phantom Stock| |12/31/ |1/29/ |J |V|167 |A | | | Common Stoc|167 |$900.75|544 |I |Deferred Sal| Units | |2002 |2003 |3 | | | | | |k (CMS) | | | | |ary Savings | | | | | | | | | | | | | | | |Plan | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Total includes 16,000 shares of Restricted Stock of which 6,000 shares are nominal. (The actual number of nominal shares received will be determined by the passage of time and the achievement of performance objectives under CMS Energy Corporation's pe rformance Incentive Stock Plan.) 2. Shares acquired during 2002 at various dates and prices pursuant to the Corporation's 401(k) plan. 3. These units are considered phantom stock held pursuant to the Deferred Salary Savings Plan of CMS Energy Corporation and were acquired on various dates in 2002 at prices ranging from $5.79 to $24.62 per share. SIGNATURE OF REPORTING PERSON Thomas W. Elward Thomas W. Elward (By: S.K. Smith or M.D. VanHemert, per Pwr of Atty filed with the SEC) -----END PRIVACY-ENHANCED MESSAGE-----