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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) July 22, 2024
Name of Registrant, State of Incorporation, Address of Principal Executive Offices, Telephone Number, Commission File Number, IRS Employer Identification Number
ALLIANT ENERGY CORPORATION
(a Wisconsin Corporation)
4902 N. Biltmore Lane
Madison, Wisconsin 53718
Telephone (608) 458-3311
Commission File Number - 1-9894
IRS Employer Identification Number - 39-1380265
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Alliant Energy Corporation, Common Stock, $0.01 Par Value, Trading Symbol LNT, Nasdaq Global Select Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.04 Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.
Alliant Energy Corporation (the “Company”) has advised participants in the Alliant Energy Corporation 401(k) Savings Plan (the “Plan”) that there will be a blackout period beginning on August 30, 2024 at 3:00 p.m. (Central Time) and ending during the calendar week beginning September 22, 2024, during which Plan participants will be unable to change contribution rates or enroll in the Plan, change how current or future contributions will be invested, request exchanges (transfers) between investment options, or request or obtain loans or distributions from the Plan. The blackout period is necessary for administrative reasons to implement a change in service provider for the Plan.
The Company received notice from the administrator of the Plan of the impending blackout period (as required by Section 101(i)(2)(E) of the Employment Retirement Income Security Act of 1974, as amended) on July 22, 2024. On July 26, 2024, the Company sent a notice to its directors and executive officers informing them that a blackout period will be in effect beginning on August 30, 2024 at 3:00 p.m. (Central Time) and ending during the calendar week beginning September 22, 2024 and restricting them from purchasing, acquiring, selling or otherwise transferring common stock of the Company. A copy of the notice provided to the Company’s directors and executive officers is filed hereto as Exhibit 99.1 and incorporated by reference herein.
The Company’s security holders and other interested persons may obtain, without charge, the actual beginning and ending dates of the blackout period by contacting Omar N. Chaudhary, the Company’s Corporate Secretary, 4902 N. Biltmore Lane, Madison, Wisconsin 53718, 608-458-3186.
Item 9.01 Financial Statements and Exhibits.
| | | | | |
(a) | Not applicable. |
(b) | Not applicable. |
(c) | Not applicable. |
(d) | Exhibits. The following exhibit is being filed herewith: |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, Alliant Energy Corporation has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| | | | | |
| ALLIANT ENERGY CORPORATION |
| |
Date: July 26, 2024 | By: /s/ Omar N. Chaudhary |
| Omar N. Chaudhary |
| Corporate Secretary |
Exhibit 99.1
NOTICE OF BLACKOUT PERIOD
| | | | | |
To: | Directors and Executive Officers of Alliant Energy Corporation |
Re: | Alliant Energy Corporation Blackout Period |
Date: | July 26, 2024 |
This notice to inform you, as directors and executive officers of Alliant Energy Corporation, of an upcoming blackout period under the Alliant Energy Corporation 401(k) Savings Plan (the “Plan”). The blackout period is necessary to transfer recordkeeping and trustee services for the Plan to Fidelity Workplace Services, LLC. During the blackout period, Plan participants will be temporarily unable to change contribution rates or enroll in the Plan, change how current or future contributions will be invested, request exchanges (transfers) between investment options, or request or obtain loans or distributions from the Plan. Participants in the Plan have been notified of the blackout period.
During this blackout period, you will be unable to trade in Alliant Energy common stock (including options and derivatives). This applies whether or not you participate in the Plan and applies to all shares of Company stock whether or not held in the Plan. The Plan blackout period is expected to begin at 3:00 p.m., Central Time, on August 30, 2024, and end the week of September 22, 2024.
In accordance with the Sarbanes-Oxley Act of 2002, the SEC’s Regulation BTR prohibits the Company’s directors and executive officers from directly or indirectly purchasing, selling or otherwise acquiring or transferring any shares of Alliant Energy common stock or other equity securities of Alliant Energy, including pursuant to options to acquire common stock and other derivative securities, during the Plan blackout period. This trading restriction bars directors and executive officers from trading within the Plan as well as trading outside the Plan. Again, the Plan blackout period, and thus the period in which you are prohibited from trading Company shares, is expected to begin on August 30, 2024 at 3:00 p.m. (Central Time) and end during the calendar week beginning September 22, 2024.
These rules apply in addition to the trading restrictions under the Company’s Trading in Company Securities Compliance Memo.
If you have any questions concerning this notice, the blackout period or the transactions affected by the blackout period, please contact Omar Chaudhary, the Company’s Corporate Secretary, 4902 N. Biltmore Lane, Madison, Wisconsin 53718, 608-458-3186. You may obtain, without charge, information as to whether the blackout period has begun or ended by contacting Mr. Chaudhary at the address and phone number listed above.
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