Form 4 PNM RESOURCES INC For: Mar 05 Filed by: Monroy Henry E
March 9, 2021 6:49 PM EST
| FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934
or Section 30(h) of the Investment Company Act of
1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
|
1. Name and Address of Reporting Person
*
| 414 SILVER AVENUE SW MS1015 |
|
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
PNM RESOURCES INC
[
PNM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| VP & Corporate Controller |
|
3. Date of Earliest Transaction
(Month/Day/Year)
03/05/2021
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. 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 (Instr.
3)
|
2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
|
4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
|
6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7.
Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock
|
03/05/2021 |
|
M |
|
977
|
A
|
$
0
|
3,471
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
F |
|
494
|
D
|
$
47.42
|
2,977
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
M |
|
308
|
A
|
$
0
|
3,285
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
F |
|
156
|
D
|
$
47.42
|
3,129
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
M |
|
565
|
A
|
$
0
|
3,694
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
F |
|
286
|
D
|
$
47.42
|
3,408
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
M |
|
341
|
A
|
$
0
|
3,749
|
D
|
|
|
Common Stock
|
03/05/2021 |
|
F |
|
173
|
D
|
$
47.42
|
3,576
|
D
|
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Restricted Stock Rights
|
|
03/05/2021 |
|
A |
|
771
|
|
|
|
Common Stock
|
771
|
$
0
|
2,975
|
D
|
|
|
Restricted Stock Rights
|
|
03/05/2021 |
|
M |
|
|
308
|
|
|
Common Stock
|
308
|
$
0
|
2,667
|
D
|
|
|
Restricted Stock Rights
|
|
03/05/2021 |
|
M |
|
|
565
|
|
|
Common Stock
|
565
|
$
0
|
2,102
|
D
|
|
|
Restricted Stock Rights
|
|
03/05/2021 |
|
M |
|
|
341
|
|
|
Common Stock
|
341
|
$
0
|
1,761
|
D
|
|
| Explanation of Responses: |
|
|
|
|
|
|
/s/ Angela L. Pino, POA for Henry E Monroy |
03/09/2021 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * 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). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| 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 Number. |
Power of Attorney
Know all by these presents, that the undersigned
hereby constitutes and appoints each of
Elisabeth A. Eden, Angela Pino, Donna Briggs, or
any of them signing singly, to serve as my true
and lawful attorney-in-fact to:
(1) execute for me in my capacity as a
Director and/or an Officer of PNM Resources, Inc.
(?Company?), Forms 3, 4, and 5 in accordance with
Section 16(a) of the Securities Exchange Act of
1934 (?1934 Act?) and the associated rules;
(2) do and perform for me all acts which may
be necessary or desirable to complete and execute
Forms 3, 4, and 5, complete and execute any
amendments, and timely file the forms with the
Untied States Securities and Exchange Commission
and the New York Stock Exchange, or similar
authority; or
(3) take any other action of any type
whatsoever in connection with the foregoing
which, in the opinion of such attorney-in-fact,
may be of benefit to, in the best interest of, or
legally required by, the undersigned, it being
understood that the documents executed by such
attorney-in-fact on behalf of the undersigned
pursuant to this Power of Attorney shall be in
such form and shall contain such terms and
conditions as such attorney-in-fact may approve
in such attorney-in-fact's discretion.
The undersigned hereby grants to each such
attorney-in-fact full power and authority to do
and perform any and every act and thing
whatsoever requisite, necessary, or proper to be
done in the exercise of any of the rights and
powers herein granted, as fully to all intents
and purposes as the undersigned might or could do
if personally present, with full power of
substitution or revocation, hereby ratifying and
confirming all that such attorney-in-fact, or his
or her substitute or substitutes, shall lawfully
do or cause to be done by virtue of this Power of
Attorney and the rights and powers herein
granted.
I acknowledge that the attorneys-in-fact are
serving at my request and neither they nor the
Company are assuming any of my responsibilities
to comply with Section 16 of the 1934 Act. This
Power of Attorney shall remain in full force and
effect until I am no longer required to file
Forms 3, 4, and 5 with respect to my holdings of
and transactions in securities issued by the
Company, unless earlier revoked by me in a signed
writing delivered to the Company.
/s/ Henry E. Monroy
Henry E. Monroy
Dated: January 30, 2020
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