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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 Units (Salary) | (1) | (1) | (1) | Common Stock (CMS) | 7,226 | 260,151 | D | ||||||||
Phantom Stock Units (Salary) | (2) | 09/07/2004 | M(2) | 7,894 (2) | (2) | (2) | Common Stock (CMS) | 7,894 | $ 9.73 | 252,257 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHIPPLE KENNETH CMS ENERGY CORPORATION ONE ENERGY PLAZA JACKSON, MI 49201-2276 |
X |
/s/MDVanHemert, Attny in Fact | 11/05/2004 | |
**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) | These phantom stock units were granted pursuant to a deferred salary provision in Mr. Whipple's employment agreement with CMS Energy Corporation. These units were deemed acquired effective as of September 1, 2004 at the then current market price of CMS Energy Corporation's Common Stock of $9.60, and will be settled in cash on the second anniversary of that deemed acquisition date based on the price of the Common Stock at that time. |
(2) | These phantom stock units were granted on September 1, 2002, pursuant to a deferred salary provision in Mr. Whipple's employment agreement with CMS Energy Corporation, at the then-current market price of $10.56, and have been settled in cash on the second anniversary of the deemed acquisition date at a current market price of $9.73 per unit. |