-----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, ONZ/ipXB6EYyIS1kTpCu+iw70A4VSI8oD3bdxyZM04yyemh6B+xemSJNi2fkKCgN txPXy7CB7frgrsawipOdNQ== 0001179884-03-000004.txt : 20030117 0001179884-03-000004.hdr.sgml : 20030117 20030117105911 ACCESSION NUMBER: 0001179884-03-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030115 FILED AS OF DATE: 20030117 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: 03517173 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HAENER WILLIAM J CENTRAL INDEX KEY: 0001179884 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: FAIRLANE PLZ SOUTH STE 110 STREET 2: 330 TOWN CTR CITY: DEARBORN STATE: MI ZIP: 48126 BUSINESS PHONE: 3139829354 4 1 edgar.txt FORM 4 - 01-15-2003 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 William J. Haener 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 1/15/2003 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President and COO-Gas 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) |1/15/ |1/15/ |F | |458 |D |$9.98 |74838.767 1 |D | | |2003 |2003 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock (CMS) | | | | | | | |1591 |I |401(k) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________| 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| | |14000 |D | | ions-1997 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |11000 |D | | ions-1998 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |22000 |D | | ions-1999 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |22000 |D | | ions-2000 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |43000 |D | | ions | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |40000 |D | | ions - 2002 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |40000 |D | | ions-2001 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stoc| | | | | | | | | | Common Stoc| | |42500 |D | | k Options - 2| | | | | | | | | |k (CMS) | | | | | | 002 | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Phantom Stock| | | | | | | | | | Common Stoc| | |2159 |I |Deferred Sal| Units | | | | | | | | | |k (CMS) | | | | |ary Savings | | | | | | | | | | | | | | | |Plan | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Total includes 39,678 shares of Restricted Stock, of which 17,360 shares are nominal. (The actual number of nominal shares received will be determined by the passage of time and achievement of performance objectives under CMS Energy Corporation's Perf ormance Incentive Stock Plan.) SIGNATURE OF REPORTING PERSON William J. Haener William J. Haener (By: S.K. Smith or M.D. VanHemert, per Pwr of Attny filed with the SEC) -----END PRIVACY-ENHANCED MESSAGE-----