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
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
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1. Name and Address of Reporting Person
*
(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
PNM RESOURCES INC
[
PNM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 05/11/2021
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check
Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting
Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
1.
Title of Security (Instr.
3)
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2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
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4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
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6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock
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05/11/2021 |
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A |
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2,430
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A
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$
0
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20,042
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D
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
Explanation of Responses: |
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/s/ Angela L. Pino, POA for Maureen T. Mullarkey |
05/12/2021 |
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** 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
I, Maureen T. Mullarkey, reside at 925 Dartmouth Drive, Reno, Nevada 89509.
I appoint Laurie S. Monfiletto, Vice President,
Human Resources, Corporate Headquarters, MS-0705, Albuquerque,
New Mexico 87158; Angela Pino, Manager, Compensation, Corporate
Headquarters, MS-0755, Albuquerque, New Mexico 87158;
or Donna Briggs, Administrator III, Corporate Headquarters, MS-0705,
Albuquerque, New Mexico 87158 to serve as my attorneys-in-fact to:
(1) execute for me in my capacity as a Director 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) 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 United States Securities and Exchange Commission
and the New York Stock Exchange, or similar authority; or
(3) take any other action related to the powers identified
in items (1) and (2), which, in the opinion of the attorneys-in-fact,
may be legally required or beneficial to me.
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 attorneys-in-fact.
/s/ Maureen T. Mullarkey
Maureen T. Mullarkey
ACKNOWLEDGEMENT
State of New Mexico )
) ss.
County of Bernalillo )
The foregoing instrument was acknowledged before me on February 24,
2016 by Maureen T. Mullarkey.
/s/Susan G. Gordon
Notary Public
My Commission Expires: September 12, 2016