SEC Form 4 · accession 0000893538-15-000097
SM Energy Co · SM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Javan D Ottoson
Officer — President & CEO · Director
Period of report
Oct 5, 2015
Accepted (ET)
Oct 7, 2015 · 5:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000893538
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock; $.01 Par ValueF1 | Oct 5, 2015 | M | 10,000 | — | D | 128,380 | D | |
| Common Stock; $.01 Par Value | Oct 5, 2015 | F | 4,659 | $35.39 | D | 123,721 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Oct 5, 2015 | M | 10,000 | D | — | — | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vested on October 3, 2015. The vested shares were issued to the reporting person on October 5, 2015, at which time all restrictions on the vested shares lapsed.