SEC Form 4 · accession 0001127602-17-001918
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
Jan 16, 2017
Accepted (ET)
Jan 18, 2017 · 6:32 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 StockF1 | Jan 16, 2017 | M | 13,522 | $0.00 | A | 48,015 | D | |
| Common StockF1 | Jan 16, 2017 | F | 7,239 | $42.20 | D | 40,776 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Shares Feb 2014F6,F7 | — | Jan 16, 2017 | M | 13,522 | D | Feb 18, 2017 | — | Common Stock | 13,522 | 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.
- F6The number of performance shares that vest is based on the achievement of a specified total shareholder return for Spectra Energy Corp Common Stock.
- F7Expiration date not applicable.