Statement of Changes in Beneficial Ownership (4)
November 02 2020 - 3:23PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
Caplan Deborah H |
2. Issuer Name and Ticker or Trading Symbol
NEXTERA ENERGY INC
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NEE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, HR & Corp Services |
(Last)
(First)
(Middle)
C/O NEXTERA ENERGY, INC., 700 UNIVERSE BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/30/2020 |
(Street)
JUNO BEACH, FL 33408
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 10/30/2020 | | M(1) | | 26164 | A | $20.14 | 143680 (2) | D | |
Common Stock | 10/30/2020 | | S(3) | | 26537 | D | $73.13 (4) | 117143 (2) | D | |
Common Stock | 10/30/2020 | | S(3) | | 18695 | D | $73.87 (5) | 98448 (2) | D | |
Common Stock | | | | | | | | 12229 (2) | I | By Retirement Savings Plan Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Employee Stock Option (Right to Buy) | $20.14 (6) | 10/30/2020 | | M (1) | | | 26164 (6) | (7) | 4/24/2023 | Common Stock | 26164 (6) | $0 | 0 | D | |
Explanation of Responses: |
(1) | Options exercised pursuant to Rule 10b5-1 trading plan adopted by the reporting person on July 28, 2020. |
(2) | Amount of securities owned has been adjusted for the Issuer's 4-for-1 stock split effective October 26, 2020 |
(3) | Sales effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on July 28, 2020. |
(4) | Weighted average sale price. Reporting person sold 26,537 shares through a trade order executed by a broker-dealer at prices ranging from $72.54 to $73.53 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. |
(5) | Weighted average sale price. Reporting person sold 18,695 shares through a trade order executed by a broker-dealer at prices ranging from $73.55 to $74.30 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) | Reflects adjustment for Issuer's 4-for-1 stock split effective October 26, 2020. |
(7) | The option, representing a right to buy shares, became exercisable in three substantially equal annual installments beginning on April 24, 2014. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Caplan Deborah H C/O NEXTERA ENERGY, INC. 700 UNIVERSE BLVD. JUNO BEACH, FL 33408 |
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| EVP, HR & Corp Services |
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Signatures
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W. Scott Seeley (Attorney-in-Fact) | | 11/2/2020 |
**Signature of Reporting Person | Date |
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