Statement of Changes in Beneficial Ownership (4)
February 16 2021 - 9:49AM
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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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)
2/11/2021 |
(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 | 2/11/2021 | | A(1) | | 1711 | A | $83.95 | 100159 | D | |
Common Stock | 2/11/2021 | | A(2) | | 27768 | A | $83.95 | 127927 | D | |
Common Stock | 2/11/2021 | | F(3) | | 10536 | D | $83.95 | 117391 | D | |
Common Stock | 2/15/2021 | | F(4) | | 948 | D | $83.13 | 116443 | D | |
Common Stock | | | | | | | | 12325 | 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 |
Phantom Shares | (5) | 2/11/2021 | | A | | 1084 | | (5) | (5) | Common Stock | (5) | (5) | 15872 (6) | D | |
Employee Stock Option (Right to Buy) | $83.95 | 2/11/2021 | | A | | 22378 | | (7) | 2/11/2031 | Common Stock | 22378 | $0 | 22378 | D | |
Explanation of Responses: |
(1) | Restricted stock grant made pursuant to Issuer's 2011 Long Term Incentive Plan, exempt under Rule 16b-3. |
(2) | Shares acquired in settlement of performance share awards (which were not derivative securities) under Issuer's Amended and Restated Long Term Incentive Plan, exempt under Rule 16b-3. |
(3) | Stock withheld by Issuer to satisfy tax withholding obligations on shares acquired February 11, 2021 in settlement of performance share awards. |
(4) | Restricted stock withheld by Issuer to satisfy tax withholding obligations on vesting of restricted stock granted Februry 15, 2018, February 14, 2019 and Februry 13, 2020. |
(5) | Annual credit of phantom shares to an unfunded Supplemental Matching Contribution Account ("SMCA") for the reporting person pursuant to the NextEra Energy, Inc. Supplemental Executive Retirement Plan ("SERP") in an amount approved on the transaction date by the Issuer's Compensation Committee, which amount is determined by dividing an amount equal to (a) certain matching contributions in excess of the limits of the Issuer's Retirement Savings Plan plus (b) theoretical earnings, by the closing price of the Issuer's common stock on the last business day of the relevant year ($77.15 in 2020). The value of the SMCA is payable in cash following the reporting person's termination of employment with the Issuer and its subsidiaries. |
(6) | Amount of Securities Owned has been adjusted to reflect the 4-for-1 split on October 26, 2020 of Issuer's common stock. |
(7) | Options to buy 22,378 shares become exercisable in three substantially equal annual installments beginning on February 15, 2022. |
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) | | 2/16/2021 |
**Signature of Reporting Person | Date |
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