SEC Form 4 · accession 0000893538-17-000092
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
Jul 3, 2017
Accepted (ET)
Jul 6, 2017 · 4:26 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 Value | Jun 30, 2017 | J | 725 | $14.05 | A | 145,827 | D | |
| Common Stock; $.01 Par ValueF2 | Jul 3, 2017 | M | 2,775 | — | A | 148,602 | D | |
| Common Stock; $.01 Par Value | Jul 3, 2017 | F | 888 | $16.53 | D | 147,714 | D | |
| Common Stock; $.01 Par ValueF3 | Jul 3, 2017 | M | 5,718 | — | A | 153,432 | D | |
| Common Stock; $.01 Par Value | Jul 3, 2017 | F | 1,829 | $16.53 | D | 151,603 | D | |
| Common Stock; $.01 Par ValueF4 | Jul 3, 2017 | M | 7,716 | — | A | 159,319 | D | |
| Common Stock; $.01 Par Value | Jul 3, 2017 | F | 2,468 | $16.53 | D | 156,851 | 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 UnitsF2 | — | Jul 3, 2017 | M | 2,775 | D | — | — | Common Stock | 2,775 | 0 | D |
| Restricted Stock UnitsF3 | — | Jul 3, 2017 | M | 5,718 | D | — | — | Common Stock | 5,718 | 5,719 | D |
| Restricted Stock UnitsF4 | — | Jul 3, 2017 | M | 7,716 | D | — | — | Common Stock | 7,716 | 15,432 | D |
Explanation of responses
- F1The reporting person purchased 725 shares of the issuer's common stock on June 30, 2017, through the issuer's Employee Stock Purchase Plan.
- F2Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vested in three equal annual installments beginning on July 1, 2015. The vested shares were issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares lapsed.
- F3Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2016. The vested shares will be issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares will lapse.
- F4Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2017. The vested shares will be issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares will lapse.