SEC Form 4 · accession 0001127602-16-064976
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
Oct 14, 2016
Accepted (ET)
Oct 19, 2016 · 9:12 am 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 StockF1 | Oct 14, 2016 | D | 13,500 | $42.55 | D | 34,493 | D | |
| Common StockF1 | Oct 14, 2016 | M | 13,500 | $25.64 | A | 47,993 | D | |
| Common StockF2 | holding | — | — | — | 4,458 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 2,660 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 22,943 | I | By Trustee | |
| Common StockF4 | holding | — | — | — | 179 | I | By Trustee | |
| Common StockF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $25.64 | Oct 14, 2016 | M | 13,500 | D | Feb 27, 2007 | Feb 27, 2017 | Common Stock | 13,500 | 0 | D |
Explanation of responses
- F1Total includes 167 shares in RRSP (Canadian Retirement Savings Plan)
- F2Shares held in RRSP (Canadian Retirement Savings Plan)
- F3Shares in EPSP (Canadian Employee Savings Plan)
- F4Shares in RESP (Canadian Education Plan for Children)
- F5Ancillary defined benefit plan.