SEC Form 4 · accession 0001127602-16-059942
Spectra Energy Corp. · SE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorothy M Ables
Officer — Chief Administrative Officer
Period of report
Aug 9, 2016
Accepted (ET)
Aug 9, 2016 · 6:01 pm EDT
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 Stock | Aug 9, 2016 | M | 33,400 | $25.64 | A | 166,996 | D | |
| Common StockF1 | Aug 9, 2016 | S | 33,400 | $36.251 | D | 133,596 | D |
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) | $25.64 | Aug 9, 2016 | M | 33,400 | D | Feb 27, 2009 | Feb 27, 2017 | Common Stock | 33,400 | 0 | D |
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $36.17 to $36.41, inclusive. The reporting person undertakes to provide to Spectra Energy Corp, any security holder of Spectra Energy Corp, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.