SEC Form 4 · accession 0001127602-17-007219
Spectra Energy Corp. · SE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allen C Capps
Officer — Vice President and Controller
Period of report
Feb 16, 2017
Accepted (ET)
Feb 21, 2017 · 12:41 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 | Feb 16, 2017 | M | 185 | $0.00 | A | 7,550 | D | |
| Common Stock | Feb 16, 2017 | F | 51 | $41.41 | D | 7,499 | D | |
| Common Stock | holding | — | — | — | 12,585 | I | Retirement Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LTIP Phantom Merit Stock Grant Feb 2016F1,F2 | — | Feb 16, 2017 | M | 185 | D | Feb 16, 2017 | Feb 17, 2016 | Common Stock | 185 | 0 | D |
Explanation of responses
- F1Converts to Common Stock on a 1-for-1 basis.
- F2Vests one year from the grant date.