| | | | | | | | | | | | | | | | | | | | | | |
Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 2/26/20 |
| Not Subject to Section 16? No |
| Issuer: |
| Issuer CIK: 811156 |
| Issuer Name: CMS ENERGY CORP |
| Issuer Trading Symbol: CMS |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1592298 |
| | Owner Name: Poppe Patricia K |
| Reporting Owner Address: |
| | Owner Street 1: ONE ENERGY PLAZA |
| | Owner Street 2: |
| | Owner City: JACKSON |
| | Owner State: MI |
| | Owner ZIP Code: 49201 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: President and CEO |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 2/26/20 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 5 |
| | | Transaction Code: G |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 23,184 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 465,186 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnote ID: F2 |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 3/20/20 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 16,394 |
| Footnote ID: F3 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 481,580 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 3/20/20 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 25,260 |
| | | Transaction Price Per Share: |
| Value: 49.55 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 456,320 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: Annual charitable contribution. |
| Footnote - F2: The total holdings reflect an adjustment of 1854 additional shares of Restricted Stock purchased on behalf of the reporting person as a result of automatic acquisition of Restricted Stock in lieu of cash dividends pursuant to the terms of the award granted to the reporting person in accordance with the provisions of the CMS Performance Incentive Stock Plan. |
| Footnote - F3: Shares of Common Stock of CMS Energy Corporation ("CMS") acquired as a result of CMS exceeding certain performance criteria established under the 2017 Restricted Stock Award granted to the reporting person in accordance with the provisions of the CMS Performance Incentive Stock Plan. |
| Owner Signature: |
| Signature Name: Rhonda M. Morris, Attny-in-Fact |
| Signature Date: 3/24/20 |
