SEC Form 4 · accession 0001127602-16-042859
Spectra Energy Corp. · SE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen W Baker
Officer — President, Union Gas
Period of report
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 11:42 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001373835
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 19, 2016 | M | 7,600 | — | A | 38,002 | D | |
| Common StockF2 | Feb 19, 2016 | F | 3,509 | $28.63 | D | 34,493 | D | |
| Common StockF3 | holding | — | — | — | 4,458 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 2,660 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 22,943 | I | By Trustee | |
| Common StockF5 | holding | — | — | — | 179 | I | By Trustee | |
| Common StockF6 | holding | — | — | — | 3,128 | I | By Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LTIP Phantom Stock Grant Feb 2013F1,F7 | — | Feb 19, 2016 | M | 7,600 | D | Feb 19, 2016 | Feb 19, 2016 | Common Stock | 7,600 | 0 | D |
Explanation of responses
- F1Converts to Common Stock on a 1-for-1 basis.
- F2Total includes 167 shares in RRSP (Canadian Retirement Savings Plan)
- F3Shares held in RRSP (Canadian Retirement Savings Plan)
- F4Shares in EPSP (Canadian Employee Savings Plan)
- F5Shares in RESP (Canadian Education Plan for Children)
- F6Ancillary defined benefit plan.
- F7Grant cliff vests 3 years from date of Grant.