-----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, RX4tFdRY91jWjzPQd74hq3NGkxTlHeoEqhLPwoY55GuFrmSeT5pWJo4Mk46AhHiP KQYCVKDoaJJh4wk8MNSwYQ== 0001180223-03-000001.txt : 20030131 0001180223-03-000001.hdr.sgml : 20030131 20030131151356 ACCESSION NUMBER: 0001180223-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030131 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: 03534427 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: GEYER DAVID B CENTRAL INDEX KEY: 0001180223 RELATIONSHIP: OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1021 MAIN ST SUITE 2600 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 3139829354 MAIL ADDRESS: STREET 1: 1021 MAIN ST SUITE 2600 CITY: HOUSTON STATE: TX ZIP: 77002 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 David B. Geyer CMS Marketing, Services and Trading Company 1021 Main Street Suite 2600 TX, Houston 77002 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 Marketing, Services and Trading Company, an affiliate of CM 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) | | | | | | | |14000 1 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock (CMS) |12/31/|1/29/ |J |V|344 |A | |1283 |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| | |4000 |D | | ions-1997 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |4000 |D | | ions-1998 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |10000 |D | | ions-1999 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |10000 |D | | ions - 2002 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Emp Stock Opt| | | | | | | | | | Common Stoc| | |10000 |D | | ions-2001 | | | | | | | | | |k (CMS) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stoc| | | | | | | | | | Common Stoc| | |18000 |D | | k Options - 2| | | | | | | | | |k (CMS) | | | | | | 002 | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Phantom Stock|1-for-1 |12/31/ |1/29/ |J |V|17 |A | | | Common Stoc|17 |$0 |157 |I |Deferred Sal| Units | |2002 |2003 |3 | | | | | |k (CMS) | | | | |ary Savings | | | | | | | | | | | | | | | |Plan | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Total includes 14,000 shares of Restricted Stock, of which 5,000 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 Performa nce 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 David B. Geyer David B. Geyer (By: S.K. Smith or M.D. VanHemert, per Pwr of Attny filed with the SEC) -----END PRIVACY-ENHANCED MESSAGE-----