Statement of Changes in Beneficial Ownership (4)
December 16 2021 - 5:43PM
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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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
*
LAU CONSTANCE H |
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)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President & CEO |
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(Last)
(First)
(Middle)
C/O HAWAIIAN ELECTRIC INDUSTRIES, INC., P O BOX 730 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/14/2021 |
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(Street)
HONOLULIU, HI 96808
(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 | 12/14/2021 | | S | | 4000 | D | $41.53 (1) | 52825 (2) | D | |
| Common Stock | 12/15/2021 | | S | | 31000 | D | $42.15 (3) | 21825 (2) | D | |
| Common Stock | | | | | | | | 494203.72 (4) | I | By Constance Lau Trust |
| Common Stock | | | | | | | | 125 (5) | I | By 401K |
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) | Average execution price on December 14, 2021. |
| (2) | This number includes accrued dividend equivalents (as denominated in shares of HE common stock) from January 31, 2018 (first RSU grants in 2018) to date. Dividend equivalents accrue with respect to outstanding RSUs when and as dividends are paid on HE stock. Accrued dividend equivalents are denominated in HE common stock and paid upon vesting in shares of HE common stock. |
| (3) | Average execution price on December 15, 2021. |
| (4) | Includes shares acquired under the Hawaiian Electric Industries, Inc. Dividend Reinvestment and Stock Purchase Plan and shares previously acquired by the reinvestment of dividends. |
| (5) | Represents shares held in the form of stock units in the HEI Common Stock fund pursuant to the Hawaiian Electric Industries Retirement Savings Plan as of December 14, 2021. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
LAU CONSTANCE H
C/O HAWAIIAN ELECTRIC INDUSTRIES, INC.
P O BOX 730
HONOLULIU, HI 96808 | X |
| President & CEO |
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Signatures
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| Sean K. Clark, Attorney-in-fact for Constance H. Lau | | 12/16/2021 |
| **Signature of Reporting Person | Date |
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