Item 16. Form 10-K Summary
111K characters. Original on sec.gov ·
Item 16. Form 10-K Summary
None.
CENTERPOINT ENERGY, INC. AND SUBSIDIARIES
CENTERPOINT ENERGY HOUSTON ELECTRIC, LLC AND SUBSIDIARIES
CENTERPOINT ENERGY RESOURCES CORP. AND SUBSIDIARIES
EXHIBITS TO THE COMBINED ANNUAL REPORT ON FORM 10-K
For Fiscal Year Ended December 31, 2022
INDEX OF EXHIBITS
Exhibits included with this report are designated by a cross (†); all exhibits not so designated are incorporated herein by reference to a prior filing as indicated. Exhibits designated by an asterisk (*) are management contracts or compensatory plans or arrangements required to be filed as exhibits to this Form 10-K by Item 601(b)(10)(iii) of Regulation S-K. The Registrants have not filed the exhibits and schedules to Exhibit 2. The Registrants hereby agree to furnish supplementally a copy of any schedule omitted from Exhibit 2 to the SEC upon request.
The agreements included as exhibits are included only to provide information to investors regarding their terms. The agreements listed below may contain representations, warranties and other provisions that were made, among other things, to provide the parties thereto with specified rights and obligations and to allocate risk among them, and such agreements should not be relied upon as constituting or providing any factual disclosures about us, any other persons, any state of affairs or other matters.
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 2(a) | — | Transaction Agreement dated July 21, 2004 among CenterPoint Energy, Utility Holding, LLC, NN Houston Sub, Inc., Texas Genco Holdings, Inc. (Texas Genco), HPC Merger Sub, Inc. and GC Power Acquisition LLC | CenterPoint Energy’s Form 8-K dated July 21, 2004 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| 2(b) | — | Agreement and Plan of Merger, dated as of April 21, 2018, by and among Vectren Corporation, CenterPoint Energy, Inc. and Pacer Merger Sub, Inc. | CenterPoint Energy’s Form 8-K dated April 21, 2018 | 1-31447 | 2.1 | X | ||||||||||||||||||||||||||||||||||||||
| 2(c)(1) | — | Agreement and Plan of Merger among CERC, Houston Lighting and Power Company (“HL&P”), HI Merger, Inc. and NorAm Energy Corp. (“NorAm”) dated August 11, 1996 | Houston Industries’ (“HI’s”) Form 8-K dated August 11, 1996 | 1-7629 | 2 | X | ||||||||||||||||||||||||||||||||||||||
| 2(c)(2) | — | Amendment to Agreement and Plan of Merger among CERC, HL&P, HI Merger, Inc. and NorAm dated August 11, 1996 | Registration Statement on Form S-4 | 333-11329 | 2(c) | X | ||||||||||||||||||||||||||||||||||||||
| 2(d) | — | Agreement and Plan of Merger dated December 29, 2000 merging Reliant Resources Merger Sub, Inc. with and into Reliant Energy Services, Inc. | Registration Statement on Form S-3 | 333-54526 | 2 | X | ||||||||||||||||||||||||||||||||||||||
| 2(e) | — | Master Formation Agreement dated March 14, 2013 by and among CenterPoint Energy, Inc., OGE Energy Corp., Bronco Midstream Holdings, LLC and Bronco Midstream Holdings II, LLC. | CenterPoint Energy’s Form 8-K dated March 14, 2013 | 1-31447 | 2.1 | X | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 3(k) | — | Statement of Resolutions Deleting Shares Designated Series A Preferred Stock of CenterPoint Energy | CenterPoint Energy’s Form 10-K for the year ended December 31, 2011 | 1-31447 | 3(c) | X | ||||||||||||||||||||||||||||||||||||||
| 3(l) | — | Statement of Resolution Establishing Series of Shares Designated Series A Fixed-to-Floating Rate Cumulative Redeemable Perpetual Preferred Stock of CenterPoint Energy | CenterPoint Energy’s Form 8-K dated August 22, 2018 | 1-31447 | 3.1 | X | ||||||||||||||||||||||||||||||||||||||
| 3(m) | — | Statement of Resolution Establishing Series of Shares designated 7.00% Series B Mandatory Convertible Preferred Stock of CenterPoint Energy | CenterPoint Energy’s Form 8-K dated September 25, 2018 | 1-31447 | 3.1 | X | ||||||||||||||||||||||||||||||||||||||
| 3(n) | — | Statement of Resolution Establishing Series of Shares designated Series C Mandatory Convertible Preferred Stock of CenterPoint Energy | CenterPoint Energy’s Form 8-K dated May 6, 2020 | 1-31447 | 3.1 | X | ||||||||||||||||||||||||||||||||||||||
| 4(a) | — | Form of CenterPoint Energy Stock Certificate | CenterPoint Energy’s Registration Statement on Form S-4 | 333-69502 | 4.1 | X | ||||||||||||||||||||||||||||||||||||||
| 4(b) | — | Form of Certificate representing the Series A Fixed-to-Floating Rate Cumulative Redeemable Perpetual Preferred Stock of CenterPoint Energy | CenterPoint Energy’s Form 8-K dated August 22, 2018 | 1-31447 | 4.1 | X | ||||||||||||||||||||||||||||||||||||||
| 4(c) | — | Contribution and Registration Agreement dated December 18, 2001 among Reliant Energy, CenterPoint Energy and the Northern Trust Company, trustee under the Reliant Energy, Incorporated Master Retirement Trust | CenterPoint Energy’s Form 10-K for the year ended December 31, 2001 | 1-31447 | 4.3 | X | ||||||||||||||||||||||||||||||||||||||
| 4(d)(1) | — | Mortgage and Deed of Trust, dated November 1, 1944 between Houston Lighting and Power Company (HL&P) and Chase Bank of Texas, National Association (formerly, South Texas Commercial National Bank of Houston), as Trustee, as amended and supplemented by 20 Supplemental Indentures thereto | HL&P’s Form S-7 filed on August 25, 1977 | 2-59748 | 2(b) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(2) | — | Twenty-First through Fiftieth Supplemental Indentures to Exhibit 4(d)(1) | HL&P’s Form 10-K for the year ended December 31, 1989 | 1-3187 | 4(a)(2) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(3) | — | Fifty-First Supplemental Indenture to Exhibit 4(d)(1) dated as of March 25, 1991 | HL&P’s Form 10-Q for the quarter ended June 30, 1991 | 1-3187 | 4(a) | X | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 4(d)(4) | — | Fifty-Second through Fifty-Fifth Supplemental Indentures to Exhibit 4(d)(1) each dated as of March 1, 1992 | HL&P’s Form 10-Q for the quarter ended March 31, 1992 | 1-3187 | 4 | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(5) | — | Fifty-Sixth and Fifty-Seventh Supplemental Indentures to Exhibit 4(d)(1) each dated as of October 1, 1992 | HL&P’s Form 10-Q for the quarter ended September 30, 1992 | 1-3187 | 4 | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(6) | — | Fifty-Eighth and Fifty-Ninth Supplemental Indentures to Exhibit 4(d)(1) each dated as of March 1, 1993 | HL&P’s Form 10-Q for the quarter ended March 31, 1993 | 1-3187 | 4 | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(7) | — | Sixtieth Supplemental Indenture to Exhibit 4(d)(1) dated as of July 1, 1993 | HL&P’s Form 10-Q for the quarter ended June 30, 1993 | 1-3187 | 4 | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(8) | — | Sixty-First through Sixty-Third Supplemental Indentures to Exhibit 4(d)(1) each dated as of December 1, 1993 | HL&P’s Form 10-K for the year ended December 31, 1993 | 1-3187 | 4(a)(8) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(d)(9) | — | Sixty-Fourth and Sixty-Fifth Supplemental Indentures to Exhibit 4(d)(1) each dated as of July 1, 1995 | HL&P’s Form 10-K for the year ended December 31, 1995 | 1-3187 | 4(a)(9) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(e)(1) | — | General Mortgage Indenture, dated as of October 10, 2002, between CenterPoint Energy Houston Electric, LLC and JPMorgan Chase Bank, as Trustee | Houston Electric’s Form 10-Q for the quarter ended September 30, 2002 | 1-3187 | 4(j)(1) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(e)(2) | — | Third Supplemental Indenture to Exhibit 4(e)(1), dated as of October 10, 2002 | Houston Electric’s Form 10-Q for the quarter ended September 30, 2002 | 1-3187 | 4(j)(4) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(e)(3) | — | Officer’s Certificates dated October 10, 2002 setting forth the form, terms and provisions of the First through Eighth Series of General Mortgage Bonds | CenterPoint Energy’s Form 10-K for the year ended December 31, 2003 | 1-31447 | 4(e)(10) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(e)(4) | — | Ninth Supplemental Indenture to Exhibit 4(e)(1), dated as of November 12, 2002 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2002 | 1-31447 | 4(e)(10) | X | X | |||||||||||||||||||||||||||||||||||||
| 4(e)(5) | — | Tenth Supplemental Indenture to Exhibit 4(e)(1), dated as of March 18, 2003 | CenterPoint Energy’s Form 8-K dated March 13, 2003 | 1-31447 | 4.1 | X | X | |||||||||||||||||||||||||||||||||||||
| 4(e)(6) | — | Officer’s Certificate dated March 18, 2003 setting forth the form, terms and provisions of the Tenth Series and Eleventh Series of General Mortgage Bonds | CenterPoint Energy’s Form 8-K dated March 13, 2003 | 1-31447 | 4.2 | X | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 4(i)(1) | — | Mortgage and Deed of Trust dated as of April 1, 1932 between SIGECO and Bankers Trust Company, as Trustee, as amended and supplemented by 28 Supplemental Indentures thereto | Post-Effective Amendment No. 1 Form 8-K dated June 1, 1984 Form 8-K dated March 24, 1986 Form 8-K dated June 3, 1986 | 2-2536 2-62032 2-88923 1-3553 1-3553 1-3553 | B-1, B-2 (b)(4)(ii) 4(b)(2) 4 4-A 4 | X X X X X X | ||||||||||||||||||||||||||||||||||||||
| 4(i)(2) | — | Additional Supplemental Indentures to Exhibit 4(i)(1) | X | |||||||||||||||||||||||||||||||||||||||||
| Date as of | File Reference | Exhibit No. | ||||||||||||||||||||||||||||||||||||||||||
| July 1, 1985 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1985 | 4-A | ||||||||||||||||||||||||||||||||||||||||||
| November 1, 1985 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1985 | 4-A | ||||||||||||||||||||||||||||||||||||||||||
| November 15, 1986 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1986 | 4-A | ||||||||||||||||||||||||||||||||||||||||||
| January 15, 1987 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1986 | 4-A | ||||||||||||||||||||||||||||||||||||||||||
| December 15, 1987 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1987 | 4-A | ||||||||||||||||||||||||||||||||||||||||||
| December 13, 1990 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1990 | 4-A | ||||||||||||||||||||||||||||||||||||||||||
| April 1, 1993 | 1-3553, SIGECO’s Form 8-K dated April 13, 1993 | 4 | ||||||||||||||||||||||||||||||||||||||||||
| June 1, 1993 | 1-3553, SIGECO’s Form 8-K dated June 14, 1993 | 4 | ||||||||||||||||||||||||||||||||||||||||||
| May 1, 1993 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1993 | 4(a) | ||||||||||||||||||||||||||||||||||||||||||
| July 1, 1999 | 1-3553, SIGECO’s Form 10-Q for the quarter ended June 30, 1999 | 4(a) | ||||||||||||||||||||||||||||||||||||||||||
| March 1, 2000 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2001 | 4.1 | ||||||||||||||||||||||||||||||||||||||||||
| August 1, 2004 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2004 | 4.1 | ||||||||||||||||||||||||||||||||||||||||||
| October 1, 2004 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2004 | 4.2 | ||||||||||||||||||||||||||||||||||||||||||
| April 1, 2005 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2007 | 4.1 |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| March 1, 2006 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2007 | 4.2 | ||||||||||||||||||||||||||||||||||||||||||
| December 1, 2007 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2007 | 4.3 | ||||||||||||||||||||||||||||||||||||||||||
| August 1, 2009 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2009 | 4.1 | ||||||||||||||||||||||||||||||||||||||||||
| April 1, 2013 | 1-15467, Vectren’s Form 8-K dated April 30, 2013 | 4.1 | ||||||||||||||||||||||||||||||||||||||||||
| September 1, 2014 | 1-15467, Vectren’s Form 8-K dated September 25, 2014 | 4.1 | ||||||||||||||||||||||||||||||||||||||||||
| September 1, 2015 | 1-15467, Vectren’s Form 8-K dated September 10, 2015 | 4.1 | ||||||||||||||||||||||||||||||||||||||||||
| 4(j)(1) | — | Indenture dated February 1, 1991 between Indiana Gas Company, Inc. and U.S Bank Trust National Association (formerly known as First Trust National Association, which was formerly known as Bank of America Illinois, which was formerly known as Continental Bank, National Association) | Indiana Gas’s Form 8-K filed February 15, 1991 | 1-6494 | 4(a) | X | ||||||||||||||||||||||||||||||||||||||
| 4(j)(2) | — | First Supplemental Indenture to Exhibit 4(j)(1), dated as of February 15, 1991 | Indiana Gas’s Form 8-K filed February 15, 1991 | 1-6494 | 4(b) | X | ||||||||||||||||||||||||||||||||||||||
| 4(j)(3) | — | Second Supplemental Indenture to Exhibit 4(j)(1), dated as of September 15, 1991 | Indiana Gas’s Form 8-K filed September 25, 1991 | 1-6494 | 4(b) | X | ||||||||||||||||||||||||||||||||||||||
| 4(j)(4) | — | Third Supplemental Indenture to Exhibit 4(j)(1), dated as of September 15, 1991 | Indiana Gas’s Form 8-K filed September 25, 1991 | 1-6494 | 4(c) | X | ||||||||||||||||||||||||||||||||||||||
| 4(j)(5) | — | Fourth Supplemental Indenture to Exhibit 4(j)(1), dated as of December 2, 1992 | Indiana Gas’s Form 8-K filed December 8, 1992 | 1-6494 | 4(b) | X | ||||||||||||||||||||||||||||||||||||||
| 4(j)(6) | — | Fifth Supplemental Indenture to Exhibit 4(j)(1), dated as of December 28, 2000 | Indiana Gas’s Form 8-K filed December 27, 2000 | 1-6494 | 4 | X | ||||||||||||||||||||||||||||||||||||||
| 4(k)(1) | — | Bond Purchase and Covenants Agreement, dated September 14, 2017, between SIGECO and PNC Bank, National Association | Vectren’s Form 8-K dated September 25, 2017 | 1-15467 | 4.1 | X | ||||||||||||||||||||||||||||||||||||||
| 4(k)(2) | — | Joinder and First Amendment to Exhibit 4(k)(1) dated March 1, 2018 among SIGECO, the lenders party thereto and PNC Bank, National Association | Vectren’s Form 8-K dated May 3, 2018 | 1-15467 | 4.1 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 4(q) | — | Registration Rights Agreement, dated as of October 5, 2022, between CenterPoint Energy Resources Corp. and Goldman Sachs & Co. LLC | CERC’s Form 8-K dated October 5, 2022 | 1-13265 | 4.3 | X | ||||||||||||||||||||||||||||||||||||||
| †4(r) | — | Description of CenterPoint Energy’s Securities | X | |||||||||||||||||||||||||||||||||||||||||
| †4(s) | — | Description of Houston Electric’s Securities | X | |||||||||||||||||||||||||||||||||||||||||
| †4(t) | — | Description of CERC’s Securities | X |
Pursuant to Item 601(b)(4)(iii)(A) of Regulation S-K, the Registrants have not filed as exhibits to this Form 10-K certain long-term debt instruments, including indentures, under which the total amount of securities authorized does not exceed 10% of the total assets of the Registrants and its subsidiaries on a consolidated basis. The Registrants hereby agree to furnish a copy of any such instrument to the SEC upon request.
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| *10(a) | — | CenterPoint Energy, Inc. 1991 Benefit Restoration Plan, as amended and restated effective as of February 25, 2011 | CenterPoint Energy’s Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.3 | X | ||||||||||||||||||||||||||||||||||||||
| *10(b)(1) | — | CenterPoint Energy Benefit Restoration Plan, effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated December 22, 2008 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(b)(2) | — | First Amendment to Exhibit 10(b)(1), effective as of February 25, 2011 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.4 | X | ||||||||||||||||||||||||||||||||||||||
| *10(b)(3) | — | Partial Termination Amendment to Exhibit 10(b)(1), effective as of March 1, 2022 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2022 | 1-31447 | 10.14 | X | ||||||||||||||||||||||||||||||||||||||
| *10(c) | — | CenterPoint Energy 1985 Deferred Compensation Plan, as amended and restated effective January 1, 2003 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2003 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(d)(1) | — | Amended and Restated CenterPoint Energy, Inc. 1991 Savings Restoration Plan, effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated December 22, 2008 | 1-31447 | 10.4 | X | ||||||||||||||||||||||||||||||||||||||
| *10(d)(2) | — | First Amendment to Exhibit 10(d)(1), effective as of February 25, 2011 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.5 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| *10(e)(1) | — | CenterPoint Energy Savings Restoration Plan, effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated December 22, 2008 | 1-31447 | 10.3 | X | ||||||||||||||||||||||||||||||||||||||
| *10(e)(2) | — | First Amendment to Exhibit 10(e)(1), effective as of February 25, 2011 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.6 | X | ||||||||||||||||||||||||||||||||||||||
| *10(e)(3) | — | Second Amendment to Exhibit 10(b)(1), effective as of January 1, 2020 | CenterPoint Energy’s Form 8-K dated December 9, 2019 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(e)(4) | — | Partial Termination Amendment to Exhibit 10(e)(1), effective as of March 1, 2022 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2022 | 1-31447 | 10.18 | X | ||||||||||||||||||||||||||||||||||||||
| *10(f) | — | CenterPoint Energy Executive Life Insurance Plan, as amended and restated effective June 18, 2003 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2003 | 1-31447 | 10.5 | X | ||||||||||||||||||||||||||||||||||||||
| 10(g)(1) | — | Stockholder’s Agreement dated as of July 6, 1995 between Houston Industries Incorporated and Time Warner Inc. | Schedule 13-D dated July 6, 1995 | 5-19351 | 2 | X | ||||||||||||||||||||||||||||||||||||||
| 10(g)(2) | — | Amendment to Exhibit 10(g)(1) dated November 18, 1996 | HI’s Form 10-K for the year ended December 31, 1996 | 1-7629 | 10(x)(4) | X | ||||||||||||||||||||||||||||||||||||||
| 10(h)(1) | — | Master Separation Agreement entered into as of December 31, 2000 between Reliant Energy, Incorporated and Reliant Resources, Inc. | Reliant Energy’s Form 10-Q for the quarter ended March 31, 2001 | 1-3187 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| 10(h)(2) | — | First Amendment to Exhibit 10(h)(1) effective as of February 1, 2003 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2002 | 1-31447 | 10(bb)(5) | X | ||||||||||||||||||||||||||||||||||||||
| 10(h)(3) | — | Employee Matters Agreement, entered into as of December 31, 2000, between Reliant Energy, Incorporated and Reliant Resources, Inc. | Reliant Energy’s Form 10-Q for the quarter ended March 31, 2001 | 1-3187 | 10.5 | X | ||||||||||||||||||||||||||||||||||||||
| 10(h)(4) | — | Retail Agreement, entered into as of December 31, 2000, between Reliant Energy, Incorporated and Reliant Resources, Inc. | Reliant Energy’s Form 10-Q for the quarter ended March 31, 2001 | 1-3187 | 10.6 | X | ||||||||||||||||||||||||||||||||||||||
| 10(h)(5) | — | Tax Allocation Agreement, entered into as of December 31, 2000, between Reliant Energy, Incorporated and Reliant Resources, Inc. | Reliant Energy’s Form 10-Q for the quarter ended March 31, 2001 | 1-3187 | 10.8 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 10(i)(1) | — | Separation Agreement entered into as of August 31, 2002 between CenterPoint Energy and Texas Genco | CenterPoint Energy’s Form 10-K for the year ended December 31, 2002 | 1-31447 | 10(cc)(1) | X | ||||||||||||||||||||||||||||||||||||||
| 10(i)(2) | — | Transition Services Agreement, dated as of August 31, 2002, between CenterPoint Energy and Texas Genco | CenterPoint Energy’s Form 10-K for the year ended December 31, 2002 | 1-31447 | 10(cc)(2) | X | ||||||||||||||||||||||||||||||||||||||
| 10(i)(3) | — | Tax Allocation Agreement, dated as of August 31, 2002, between CenterPoint Energy and Texas Genco | CenterPoint Energy’s Form 10-K for the year ended December 31, 2002 | 1-31447 | 10(cc)(3) | X | ||||||||||||||||||||||||||||||||||||||
| *10(j)(1) | — | CenterPoint Energy, Inc. Deferred Compensation Plan, as amended and restated effective January 1, 2003 | CenterPoint Energy’s Form 10-Q for the quarter ended June 30, 2003 | 1-31447 | 10.2 | X | ||||||||||||||||||||||||||||||||||||||
| *10(j)(2) | — | First Amendment to Exhibit 10(j)(1) effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated February 20, 2008 | 1-31447 | 10.4 | X | ||||||||||||||||||||||||||||||||||||||
| *10(k)(1) | — | Amended and Restated CenterPoint Energy 2005 Deferred Compensation Plan, effective January 1, 2009 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2008 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(k)(2) | — | First Amendment to Exhibit 10(k)(1) effective March 1, 2022 | CenterPoint Energy’s Form 8-K dated April 22, 2022 | 1-31447 | 10.10 | X | ||||||||||||||||||||||||||||||||||||||
| *10(k)(3) | — | Second Amendment to Exhibit 10(k)(1) effective May 1, 2022 | CenterPoint Energy’s Form 10-Q for the quarter ended March 31, 2022 | 1-31447 | 10.11 | X | ||||||||||||||||||||||||||||||||||||||
| *10(l)(1) | — | CenterPoint Energy Inc., Short Term Incentive Plan, as amended and restated effective January 1, 2022 | CenterPoint Energy Form 10-K for the year ended December 31, 2021 | 1-31447 | 10(l) | X | ||||||||||||||||||||||||||||||||||||||
| †*10(l)(2) | — | First Amendment to Exhibit 10(l)(1) effective as of January 1, 2023 | X | |||||||||||||||||||||||||||||||||||||||||
| *10(m)(1) | — | Amended and Restated CenterPoint Energy Stock Plan for Outside Directors | CenterPoint Energy’s Form 10-Q for the quarter ended March 31, 2018 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(m)(2) | First Amendment to Exhibit 10(m)(1), dated as of February 19, 2020 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2019 | 1-31447 | 10(n)(2) | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| 10(n) | — | City of Houston Franchise Ordinance | CenterPoint Energy’s Form 10-Q for the quarter ended June 30, 2005 | 1-31447 | 10.1 | X | X | |||||||||||||||||||||||||||||||||||||
| 10(o)(1) | — | Amended and Restated HL&P Executive Incentive Compensation Plan effective as of January 1, 1985 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2008 | 1-31447 | 10.2 | X | ||||||||||||||||||||||||||||||||||||||
| 10(o)(2) | — | First Amendment to Exhibit 10(o)(1) effective as of January 1, 2008 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2008 | 1-31447 | 10.3 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(1) | — | CenterPoint Energy, Inc. 2009 Long Term Incentive Plan | CenterPoint Energy’s Schedule 14A dated March 13, 2009 | 1-31447 | A | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(2) | — | Form of Performance Award Agreement for 20XX - 20XX Performance Cycle under Exhibit 10(p)(1) | CenterPoint Energy’s Form 10-K for the year ended December 31, 2019 | 1-31447 | 10(q)(2) | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(3) | — | Form of Performance Award Agreement for Executive Chairman 20XX - 20XX Performance Cycle under Exhibit 10(p)(1) | CenterPoint Energy’s Form 10-Q for the quarter ended March 31, 2018 | 1-31447 | 10.4 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(4) | — | Form of Restricted Stock Unit Award Agreement (With Performance Goal) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K dated February 28, 2012 | 1-31447 | 10.2 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(5) | — | Form of Restricted Stock Unit Award Agreement (Service-Based Vesting) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 10-K for the year ended December 31, 2019 | 1-31447 | 10(q)(5) | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(6) | — | Form of Restricted Stock Unit Award Agreement (Retention, Service-Based Vesting) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K dated June 30, 2020 | 1-31447 | 10.4 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(7) | — | Form of Executive Chairman Restricted Stock Unit Award Agreement (Service-Based Vesting) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 10-Q for the quarter ended March 31, 2018 | 1-31447 | 10.7 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(8) | — | Form of Performance Award Agreement for the Chief Executive Officer under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K dated June 30, 2020 | 1-31447 | 10.2 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(9) | — | Form of Restricted Stock Unit Award Agreement for the Chief Executive Officer under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K dated June 30, 2020 | 1-31447 | 10.3 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(10) | — | Form of Award Agreement for Performance Share Units for Named Executive Officers (Separation) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K/A dated June 30, 2020 | 1-31447 | 10.1 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| *10(p)(11) | — | Form of Award Agreement for Restricted Stock Units for Named Executive Officers (Separation) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K/A dated June 30, 2020 | 1-31447 | 10.2 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(12) | — | Form of Restricted Stock Unit Award Agreement (Service-Based Vesting with Performance Goals) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 10-K for the year ended December 31, 2020 | 1-31447 | 10(q)(12) | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(13) | — | Form of Restricted Stock Unit Award Agreement for CEO (Service-Based Vesting with Performance Goals) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 10-K for the year ended December 31, 2020 | 1-31447 | 10(q)(13) | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(14) | — | Form of Restricted Stock Unit Award Agreement (Fully Vested) under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K/A dated February 19, 2020 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(p)(15) | — | Form of Restricted Stock Unit Award Agreement for the Chief Executive Officer under Exhibit 10(p)(1) | CenterPoint Energy’s Form 8-K dated July 20, 2021 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(q)(1) | — | Change in Control Plan | CenterPoint Energy’s Form 8-K dated April 27, 2017 | 1-31447 | 10.1 | X | ||||||||||||||||||||||||||||||||||||||
| *10(q)(2) | — | First Amendment to Exhibit 10(q)(1) | CenterPoint Energy’s Form 10-K for the year ended December 31, 2020 | 1-31447 | 10(t)(2) | X | ||||||||||||||||||||||||||||||||||||||
| *10(q)(3) | — | Second Amendment to Exhibit 10(q)(1) | CenterPoint Energy’s Form 10-K for the year ended December 31, 2021 | 1-31447 | 10(q)(3) | X | ||||||||||||||||||||||||||||||||||||||
| *10(r) | — | Omnibus Amendment to CenterPoint Energy, Inc. Benefit Plans, dated May 23, 2013 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2013 | 1-31447 | 10(zz) | X | ||||||||||||||||||||||||||||||||||||||
| *10(s) | — | Vectren Non-Qualified Deferred Compensation Plan, as amended and restated effective January 1, 2001 | Vectren’s Form 10-K for the year end December 31, 2001 | 1-15467 | 10.32 | X | ||||||||||||||||||||||||||||||||||||||
| *10(t) | — | Vectren Corporation Non-Qualified Deferred Compensation Plan, effective January 1, 2005 | Vectren’s Form 8-K dated September 29, 2008 | 1-15467 | 10.3 | X | ||||||||||||||||||||||||||||||||||||||
| *10(u) | — | Vectren Nonqualified Defined Benefit Restoration Plan, as amended and restated effective January 1, 2005 | Vectren’s Form 8-K dated December 17, 2008 | 1-15467 | 10.2 | X | ||||||||||||||||||||||||||||||||||||||
| *10(v) | — | Vectren specimen change in control agreement dated December 31, 2011 | Vectren’s Form 8-K dated January 5, 2012 | 1-15467 | 10.1 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||||||||||||||||||||||||||||||||
| †101.INS | — | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | X | X | X | |||||||||||||||||||||||||||||||||||||||
| †101.SCH | — | Inline XBRL Taxonomy Extension Schema Document | X | X | X | |||||||||||||||||||||||||||||||||||||||
| †101.CAL | — | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | X | X | |||||||||||||||||||||||||||||||||||||||
| †101.DEF | — | Inline XBRL Taxonomy Extension Definition Linkbase Document | X | X | X | |||||||||||||||||||||||||||||||||||||||
| †101.LAB | — | Inline XBRL Taxonomy Extension Labels Linkbase Document | X | X | X | |||||||||||||||||||||||||||||||||||||||
| †101.PRE | — | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | X | X | |||||||||||||||||||||||||||||||||||||||
| †104 | — | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | X | X | X |
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrants have duly caused this report to be signed on their behalf by the undersigned, thereunto duly authorized, in the City of Houston, the State of Texas, on the 17th day of February, 2022.
| CENTERPOINT ENERGY, INC. | |||||
| (Registrant) | |||||
| By: /s/ DAVID J. LESAR | |||||
| David J. Lesar | |||||
| Chief Executive Officer |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities indicated on February 17, 2023.
| Signature | Title | |||||||
| /s/ DAVID J. LESAR | Chief Executive Officer and | |||||||
| David J. Lesar | Director (Principal Executive Officer and Director) | |||||||
| /s/ JASON P. WELLS | President, Chief Operating Officer and Chief | |||||||
| Jason P. Wells | Financial Officer (Principal Financial Officer) | |||||||
| /s/ KARA GOSTENHOFER RYAN | Vice President and Chief Accounting Officer | |||||||
| Kara Gostenhofer Ryan | (Principal Accounting Officer) | |||||||
| /s/ WENDOLYNN MONTOYA CLOONAN | Director | |||||||
| Wendolynn Montoya Cloonan | ||||||||
| /s/ EARL M. CUMMINGS | Director | |||||||
| Earl M. Cummings | ||||||||
| /s/ CHRISTOPHER H. FRANKLIN | Director | |||||||
| Christopher H. Franklin | ||||||||
| /s/ RAQUELLE W. LEWIS | Director | |||||||
| Raquelle W. Lewis | ||||||||
| /s/ MARTIN H. NESBITT | Director | |||||||
| Martin H. Nesbitt | ||||||||
| /s/ THEODORE F. POUND | Director | |||||||
| Theodore F. Pound | ||||||||
| /s/ PHILLIP R. SMITH | Director | |||||||
| Phillip R. Smith | ||||||||
| /s/ BARRY T. SMITHERMAN | Director | |||||||
| Barry T. Smitherman |
| CENTERPOINT ENERGY HOUSTON ELECTRIC, LLC | |||||
| (Registrant) | |||||
| By: | /s/ JASON P. WELLS | ||||
| Jason P. Wells | |||||
| President, Chief Executive Officer and Chief Financial Officer |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities indicated on February 17, 2023.
| Signature | Title | |||||||
| /s/ JASON P. WELLS | Manager, President, Chief Executive Officer and Chief Financial Officer | |||||||
| (Jason P. Wells) | (Principal Executive Officer and Principal Financial Officer) | |||||||
| /s/ KARA GOSTENHOFER RYAN | Vice President and Chief Accounting Officer | |||||||
| (Kara Gostenhofer Ryan) | (Principal Accounting Officer) |
| CENTERPOINT ENERGY RESOURCES CORP. | |||||
| (Registrant) | |||||
| By: | /s/ JASON P. WELLS | ||||
| Jason P. Wells | |||||
| President, Chief Executive Officer and Chief Financial Officer |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities indicated on February 17, 2023.
| Signature | Title | |||||||
| /s/ JASON P. WELLS | Chairman, President, Chief Executive Officer and Chief Financial Officer | |||||||
| (Jason P. Wells) | (Principal Executive Officer, Principal Financial Officer and Director) | |||||||
| /s/ KARA GOSTENHOFER RYAN | Vice President and Chief Accounting Officer | |||||||
| (Kara Gostenhofer Ryan) | (Principal Accounting Officer) |
Previous: Item 15. Exhibits and Financial Statement Schedules