0001562180-17-001191.txt : 20170308 0001562180-17-001191.hdr.sgml : 20170308 20170308133125 ACCESSION NUMBER: 0001562180-17-001191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170307 FILED AS OF DATE: 20170308 DATE AS OF CHANGE: 20170308 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PNM RESOURCES INC CENTRAL INDEX KEY: 0001108426 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 850019030 STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 414 SILVER AVE. SW CITY: ALBUQUERQUE STATE: NM ZIP: 87102-3289 BUSINESS PHONE: 5052412700 MAIL ADDRESS: STREET 1: 414 SILVER AVE. SW STREET 2: ATTN: MS 0905 - CATHY MARTINEZ CITY: ALBUQUERQUE STATE: NM ZIP: 87102-3289 FORMER COMPANY: FORMER CONFORMED NAME: MANZANO CORP DATE OF NAME CHANGE: 20000303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TARRY JOSEPH DON CENTRAL INDEX KEY: 0001637037 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32462 FILM NUMBER: 17674631 MAIL ADDRESS: STREET 1: 414 SILVER AVE SW MS 1205 CITY: ALBUQUERQUE STATE: NM ZIP: 87102-3289 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2017-03-07 false 0001108426 PNM RESOURCES INC PNM 0001637037 TARRY JOSEPH DON CORPORATE HEADQUARTERS MS1275 ALBUQUERQUE NM 87158-1275 false true false false VP, Finance and Controller Common Stock 2017-03-07 4 M false 393.00 A 12478.00 D Common Stock 2017-03-07 4 F false 185.00 36.40 D 12293.00 D Common Stock 2017-03-07 4 S false 2000.00 36.40 D 10293.00 D Restricted Stock Rights 2017-03-07 4 M false 393.00 0.00 D Common Stock 393.00 2282.00 D Represents the portions of previous awards of restricted stock rights that vested effective as of March 7, 2017. Represents shares withheld by PNM Resources, Inc. to satisfy the tax withholding obligations arising in connection with the vesting and settlement of the restricted stock rights award described in (1) above. The company utilizes a modified "share withholding" approach in connection with settling awards of restricted stock rights, in which it (i) withholds (in cash) an amount to satisfy tax withholding obligations and remits such amount to the relevant tax authorities, and (ii) directs a designated broker to purchase on the open market the number of shares of the company's common stock that can be acquired with the after-tax value of the restricted stock right award at the prevailing market price. Only these "net shares" are delivered to the recipient of the vested restricted stock rights award. Each restricted stock right represents a contingent right to receive one share of PNM Resources, Inc. common stock. The restricted stock units vest in three equal annual installments. Vested shares will be delivered to the reporting person on the applicable vesting dates (or, if the company is in a blackout period under its insider trading policy on any vesting date, at a later date after such blackout period ends). /s/ Laurie S. Monfiletto, POA for Joseph Don Tarry 2017-03-08