SEC Form 4 · accession 0001228379-16-000159
SEMPRA · SRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Householder
Officer — Executive VP and CFO
Period of report
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 4:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001032208
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 12, 2016 | M | 12,000 | $61.41 | A | 59,425 | D | |
| Common StockF1 | Dec 12, 2016 | S | 12,000 | $102.69 | D | 47,425 | D | |
| Common Stock | holding | — | — | — | 2,268 | I | 401(k) savings plan 12/09/2016 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (01/02/2008 - 12,000)F3,F2 | $61.41 | Dec 12, 2016 | M | 12,000 | D | — | — | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1Weighted average of sales prices. Actual prices range from $102.34 to $103.13. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, Sempra Energy or any security holder of Sempra Energy.
- F2Employee stock options to purchase Sempra Energy Common Stock granted on the date and as to the original number of shares indicated parenthetically. Exercisable in cumulative installments as to one-fourth of the original grant on each of the first four anniversaries of the original grant date. Expire ten years from original grant date or following earlier termination of employment.
- F3Not applicable.