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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 45.57 | 03/15/2019 | M(1) | 111,864 | (8) | 02/12/2020 | Common Stock | 111,864 | $ 0 | 0 | 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 of Subsidiary |
W. Scott Seeley (Attorney-in-Fact) | 03/18/2019 | |
**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) | Options exercised pursuant to Rule 10b5-1 trading plan adopted by the reporting person on August 29, 2018. |
(2) | Includes a total of 47,131 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 306 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) | Includes a total of 107,511 shares deferred until reporting person's termination of employment with the Issuer and its subsidiaries, including an aggregate of 711 deferred shares deemed acquired pursuant to a dividend reinvestment feature. |
(4) | Sales effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on August 29, 2018. |
(5) | Weighted average sale price. Reporting person sold 27,982 shares through a trade order executed by a broker-dealer at prices ranging from $190.030 to $191.030 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
(6) | Weighted average sale price. Reporting person sold 83,882 shares through a trade order executed by a broker-dealer at prices ranging from $191.040 to $191.935 per share. The reporting person hereby undertakes to provide full information regarding the number of shares sold at each separate price upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer. |
(7) | Deferred shares held by Trustee of grantor trust in which reporting person has a pecuniary interest only. Includes an aggregate of 474 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. |
(8) | The option, representing a right to buy 111,864 shares, became exercisable in three substantially equal annual installments beginning on February 15, 2011. |