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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock | (1) | 01/03/2017 | M | 1,780.93 | 01/03/2017 | 01/03/2017 | Common Stock | 1,780.93 | (1) | 3,041.07 (2) | D | ||||
Phantom Stock | (1) | 01/03/2017 | A | 1,325 | (3) | (3) | Common Stock | 1,325 | $ 98.21 | 4,366.07 (2) | D | ||||
Phantom Stock (Def Dir Fees) | (1) | 01/03/2017 | A | 144.72 | (4) | (4) | Common Stock | 144.72 | $ 98.21 | 5,187.29 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BRANDON DAVID ONE ENERGY PLAZA DETROIT, MI 48226 |
X |
/s/ Timothy E. Kraepel, Attorney-in-Fact | 01/05/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 1 for 1 |
(2) | Includes phantom stock acquired through the reinvestment feature under the DTE Energy Company Deferred Stock Compensation Plan for Non-Employee Directors. |
(3) | The phantom shares are immediately vested, but subject to a 3 year deferral. The director has a one time option to defer payment until their termination from the board. |
(4) | Payment of Director Fees. The phantom stock will be settled for cash on a date selected by the reporting person as provided under the plan. |
(5) | Includes phantom stock acquired through the dividend reinvestment feature of the DTE Energy Company Plan for Deferring the Payment of Non-Employee Director Fees. |