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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Shares | (7) | 02/14/2014 | A | 2,086 | (7) | (7) | Common Stock | (7) | (7) | 17,660 | D | ||||
Employee Stock Option (Right to Buy) | $ 93.27 | 02/14/2014 | A | 58,922 | (8) | 02/14/2024 | Common Stock | 58,922 | $ 0 | 58,922 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROBO JAMES L C/O NEXTERA ENERGY, INC. 700 UNIVERSE BLVD. JUNO BEACH, FL 33408 |
X | Chairman, President & CEO | Director & CEO of Sub |
Alissa E. Ballot (Attorney-in-Fact) | 02/18/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Restricted stock grant made pursuant to Issuer's 2011 Long Term Incentive Plan, exempt under Rule 16b-3. |
(2) | Includes a total of 40,569 shares deferred pursuant to the terms of a deferred stock grant under Issuer's Amended and Restated 2011 Long Term Incentive Plan (the "Deferred Shares Grant"), including an aggregate of 1,326 deferred shares deemed acquired pursuant to a dividend reinvestment feature under the Deferred Shares Grant since the last report filed by the reporting person. Under the terms of the Deferred Shares Grant, shares are distributable in stock at the end of the deferral period. |
(3) | Shares acquired in settlement of performance share awards (which were not derivative securities) under Issuer's Amended and Restated Long Term Incentive Plan, exempt under Rule 16b-3. |
(4) | Stock withheld by Issuer to satisfy tax withholding obligations on shares acquired February 14, 2014 in settlement of performance share awards. |
(5) | Restricted stock withheld by Issuer to satisfy tax withholding obligations on vesting of restricted stock granted February 18, 2011, February 17, 2012 and February 15, 2013. |
(6) | Deferred shares held by Trustee of grantor trust in which reporting person has a pecuniary interest only. Includes an aggregate of 2,058 shares acquired by the Trustee pursuant to a dividend reinvestment feature of the deferred shares grant since the last report filed by the reporting person. |
(7) | Annual credit of phantom shares to an unfunded Supplemental Matching Contribution Account ("SMCA") for the reporting person pursuant to the NextEra Energy, Inc. Supplemental Executive Retirement Plan ("SERP") in an amount approved on the transaction date by the Issuer's Compensation Committee, which amount is determined by dividing an amount equal to (a) certain matching contributions in excess of the limits of the Issuer's Retirement Savings Plan plus (b) theoretical earnings, by the closing price of the Issuer's common stock on the last business day of the relevant year ($85.62 in 2013). The value of the SMCA is payable in cash following the reporting person's termination of employment with the Issuer and its subsidiaries. |
(8) | Options to buy 19,640 shares become exercisable on 02/15/2015 and options to buy 19,641 shares become exercisable on each of 02/15/2016 and 02/15/2017. |