Amended Statement of Changes in Beneficial Ownership (4/a)
15 Fevereiro 2023 - 8:31PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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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
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KIMURA SHELEE M.T. |
2. Issuer Name and Ticker or Trading Symbol
HAWAIIAN ELECTRIC INDUSTRIES INC
[
HE
]
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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) Pres & CEO, Hawn Electric Co. |
(Last)
(First)
(Middle)
C/O P.O. BOX 730 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2023 |
(Street)
HONOLULU, HI 96808-0730
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
2/14/2023 |
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 | 2/10/2023 | | A | | 8135 (1) | A | $0 | 33210 (2)(3)(5) | D | |
Common Stock | 2/10/2023 | | A | | 2773 (4) | A | $0 | 35983 (2)(3)(6) | D | |
Common Stock | | | | | | | | 1295 (3)(7) | I | Shelee M T Kimura TOD Stan M Kimura Subject to STA TOD Rules |
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 |
Explanation of Responses: |
(1) | Grant of 8,135 restricted stock units on February 10, 2023. Each restricted stock unit represents a contingent right to receive one share of HEI common stock. The restricted stock units will vest in annual installments over three years. |
(2) | Includes accrued dividend equivalents (as denominated in shares of HE common stock) from February 14, 2019 (first RSU grants in 2019) to date. Dividend equivalents accrue in HE common stock with respect to outstanding RSUs when and as dividends are paid. Accrued dividend equivalents are denominated in HE common stock and paid upon vesting in shares of HE common stock. |
(3) | Includes shares acquired under the Hawaiian Electric Industries, Inc. Dividend Reinvestment and Stock Purchase Plan. |
(4) | Shares awarded under the Company's Long-Term Incentive for 2020-2022 performance period. |
(5) | Due to a clerical error, the original Form 4 filed on January 14, 2023, is being amended by this Form 4 amendment to correct the number of shares beneficially owned by the reporting person following the transaction from 29,015 to 33,210. |
(6) | Due to a clerical error, the original Form 4 filed on January 14, 2023, is being amended by this Form 4 amendment to correct the number of shares beneficially owned by the reporting person following the transaction from 31,778 to 35,983. |
(7) | Due to a clerical error, the original Form 4 filed on January 14, 2023, is being amended by this Form 4 amendment to correct the number of shares indirectly beneficially owned by the reporting person following the transaction from 1,284 to 1,295. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KIMURA SHELEE M.T. C/O P.O. BOX 730 HONOLULU, HI 96808-0730 |
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| Pres & CEO, Hawn Electric Co. |
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Signatures
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Sean K. Clark, Atty-in-Fact for Shelee M.T. Kimura | | 2/15/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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