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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BRIAN JAMES S 1111 LOUISIANA HOUSTON, TX 77002 |
Senior VP & CAO |
Richard B. Dauphin, Attorney in Fact | 12/04/2007 | |
**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) | Includes a total of 25,900 shares (8,800, 9,800 and 7,300 performance based shares awarded for the 2005-2007, 2006-2008 and 2007-2009 performance cycles respectively) under the Company's Long Term Incentive Plan. Distribution of awarded shares will be delayed at least six months after separation from service pursuant to Internal Revenue Code Section 409A. |
(2) | Price is not applicable. |
(3) | Forfeiture of a total of 8,873 shares (249, 3,459 and 5,075 canceled shares respectively under the 2005-2007, 2006-2008 and 2007-2009 Long Term Incentive Plan performance cycle awards) due to the retirement of Mr. Brian. |
(4) | Includes a total of 11,100 shares (stock awards (with performance goal) of 3,800, 4,200 and 3,100 shares for 2005, 2006 and 2007 respectively) under the Company's Long Term Incentive Plan. Distribution of awarded shares will be delayed at least six months after separation from service pursuant to Internal Revenue Code Section 409A. |
(5) | Forfeiture of a total of 4,303 shares (284, 1,720 and 2,299 canceled shares respectively from 2005, 2006 and 2007 Long Term Incentive Plan awards) due to the retirement of Mr. Brian. |
(6) | Equivalent Shares held in CenterPoint Energy, Inc. Savings Plan as of 12/01/2007. |