SEC Form 4 · accession 0001127602-16-070524

Spectra Energy Corp. · SE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Development Officer

Period of report

Dec 16, 2016

Accepted (ET)

Dec 20, 2016 · 2:02 pm 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 Stock	Dec 16, 2016	M	11,481	$0.00	A	45,730	D
Common Stock	Dec 16, 2016	M	20,910	$0.00	A	66,640	D
Common Stock	Dec 16, 2016	F	4,817	$41.79	D	61,823	D
Common Stock	Dec 16, 2016	F	8,772	$41.79	D	53,051	D
Common Stock	holding	—	—		—	702	I	Retirement Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Shares Feb 2014^F2,F1,F3	—	Dec 19, 2016	M	8,010	D	Feb 18, 2017	—	Common Stock	8,010	890	D
Performance Shares Feb 2015^F4,F1,F3	—	Dec 16, 2016	M	10,455	D	Feb 17, 2018	—	Common Stock	10,455	1,845	D

F1The number of performance shares that vest is based on the achievement of a specified total shareholder return for Spectra Energy Corp Common Stock.
F2Vested with respect to 90% of the performance share award on December 16, 2016. The actual number of shares underlying such award that vest is based on the achievement of a specified total shareholder return for Spectra Energy Corp common stock
F3Expiration date not applicable.
F4Vested with respect to 85% of the performance share award on December 16, 2016. The actual number of shares underlying such award that vest is based on the achievement of a specified total shareholder return for Spectra Energy Corp common stock.