SEC Form 4 · accession 0001228379-19-000020
SEMPRA · SRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Trevor I Mihalik
Officer — Executive VP and CFO
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 6:08 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 | Jan 2, 2019 | A | 1,918 | $0.00 | A | 17,637 | D | |
| Common Stock | Jan 2, 2019 | F | 1,445 | $106.76 | D | 16,191 | D | |
| Common Stock | holding | — | — | — | 1,827 | I | 401(k) savings plan 12/31/2018 |
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 (right to buy)F1 | $106.76 | Jan 2, 2019 | A | 15,512 | A | — | Jan 1, 2029 | Common Stock | 15,512 | 15,512 | D |
| Phantom SharesF2,F3,F4,F5 | — | Jan 2, 2019 | I | 484 | D | — | — | Common Stock | 484 | 2,662 | D |
Explanation of responses
- F1The option becomes exercisable in three equal annual installments beginning on the first anniversary of the date of grant.
- F2Phantom shares of Sempra Energy Common Stock acquired under Sempra Energy's deferred compensation plan. Total includes any additional shares accrued as dividend equivalents since the date of the last report of phantom shares. Phantom shares are payable in cash and may be transferred by the reporting person into an alternative investment account.
- F3Conversion of Derivative Security is 1 for 1.
- F4Date exercisable is immediate.
- F5Expiration date is Not Applicable.