Item 6. EXHIBITS
25K characters. Original on sec.gov ·
Item 6. EXHIBITS
Exhibits filed herewith are designated by a cross (†); all exhibits not so designated are incorporated by reference to a prior filing as indicated. Agreements included as exhibits are included only to provide information to investors regarding their terms. 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 no such agreement should be relied upon as constituting or providing any factual disclosures about the Registrants, any other persons, any state of affairs or other matters.
Pursuant to Item 601(b)(4)(iii)(A) of Regulation S-K, the Registrants have not filed as exhibits to this combined Form 10-Q 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 | |||||||||||||||||||||||||||||||||||||
| 10.5 | Change in Control Plan | CenterPoint Energy’s Form 8-K dated April 27, 2017 | 1-31447 | 10.1 | x | |||||||||||||||||||||||||||||||||||||||
| 10.6 | First Amendment to Exhibit 10.6 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2020 | 1-31447 | 10(t)(2) | x | |||||||||||||||||||||||||||||||||||||||
| 10.7 | Retention Incentive Agreement between CenterPoint Energy, Inc. and David J. Lesar, dated July 20, 2021 | CenterPoint Energy’s Form 10-Q for the quarter ended June 30, 2021 | 1-31447 | 10.8 | x | |||||||||||||||||||||||||||||||||||||||
| 10.8 | Separation Agreement between CenterPoint Energy, Inc. and Milton Carroll, dated July 21, 2021 | CenterPoint Energy’s Form 10-Q for the quarter ended June 30, 2021 | 1-31447 | 10.9 | x | |||||||||||||||||||||||||||||||||||||||
| 10.9 | Form of Restricted Stock Unit Award Agreement | CenterPoint Energy’s Form 8-K dated July 20, 2021 | 1-31447 | 10.1 | x | |||||||||||||||||||||||||||||||||||||||
| †31.1.1 | Rule 13a-14(a)/15d-14(a) Certification of David J. Lesar | x | ||||||||||||||||||||||||||||||||||||||||||
| †31.1.2 | Rule 13a-14(a)/15d-14(a) Certification of Kenneth M. Mercado | x | ||||||||||||||||||||||||||||||||||||||||||
| †31.1.3 | Rule 13a-14(a)/15d-14(a) Certification of Scott E. Doyle | x | ||||||||||||||||||||||||||||||||||||||||||
| †31.2.1 | Rule 13a-14(a)/15d-14(a) Certification of Jason P. Wells | x | ||||||||||||||||||||||||||||||||||||||||||
| †31.2.2 | Rule 13a-14(a)/15d-14(a) Certification of Jason P. Wells | x | ||||||||||||||||||||||||||||||||||||||||||
| †31.2.3 | Rule 13a-14(a)/15d-14(a) Certification of Jason P. Wells | x | ||||||||||||||||||||||||||||||||||||||||||
| †32.1.1 | Section 1350 Certification of David J. Lesar | x | ||||||||||||||||||||||||||||||||||||||||||
| †32.1.2 | Section 1350 Certification of Kenneth M. Mercado | x | ||||||||||||||||||||||||||||||||||||||||||
| †32.1.3 | Section 1350 Certification of Scott E. Doyle | x | ||||||||||||||||||||||||||||||||||||||||||
| †32.2.1 | Section 1350 Certification of Jason P. Wells | x | ||||||||||||||||||||||||||||||||||||||||||
| †32.2.2 | Section 1350 Certification of Jason P. Wells | x | ||||||||||||||||||||||||||||||||||||||||||
| †32.2.3 | Section 1350 Certification of Jason P. Wells | x | ||||||||||||||||||||||||||||||||||||||||||
| †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 |
| * | Schedules to this agreement have been omitted pursuant to Item 601(b)(2) of Regulation S-K. A copy of any omitted schedules will be furnished supplementally to the SEC upon request; provided, however, that the parties may request confidential treatment pursuant to Rule 24b-2 of the Exchange Act for any document so furnished. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, each registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| CENTERPOINT ENERGY, INC. | |||||
| CENTERPOINT ENERGY HOUSTON ELECTRIC, LLC | |||||
| CENTERPOINT ENERGY RESOURCES CORP. | |||||
| By: | /s/ Kristie L. Colvin | ||||
| Kristie L. Colvin | |||||
| Senior Vice President and Chief Accounting Officer | |||||
Date: November 4, 2021
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