SEC Form 4 · accession 0000893538-17-000109
SM Energy Co · SM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary Ellen Lutey
Officer — Sr. VP & Regional Manager
Period of report
Aug 2, 2017
Accepted (ET)
Aug 2, 2017 · 5:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000893538
Table I — non-derivative securities
No Table I lines on this filing.
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 | — | Aug 2, 2017 | A | 7,940 | A | — | — | Common Stock | 7,940 | 7,940 | D |
| Restricted Stock UnitsF3,F2 | — | Aug 2, 2017 | A | 3,327 | A | — | — | Common Stock; $.01 Par Value | 3,327 | 3,327 | I |
Explanation of responses
- F1Each 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 July 1, 2018. 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.
- F2Each 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 July 1, 2018. The vested shares will be issued to the reporting person's husband on the vesting dates, at which time all restrictions on the vested shares will lapse.
- F3The reporting person's husband is also employed by the issuer, purchases the issuers's common stock through the issuer's Employee Stock Purchase Plan, and receives grants of restricted stock units and performance share awards.