SEC Form 4 · accession 0000893538-18-000070

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

Jul 2, 2018

Accepted (ET)

Jul 5, 2018 · 12:52 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	Dec 29, 2017	J	313	$14.05	A	23,921	D
Common Stock; $.01 Par Value^F3	Dec 29, 2017	J	292	$14.05	A	15,969	I	By husband
Common Stock; $.01 Par Value	Jun 29, 2018	J	444	$18.768	A	24,365	D
Common Stock; $.01 Par Value^F3	Jun 29, 2018	J	456	$18.768	A	16,425	I	By husband
Common Stock; $.01 Par Value^F6	Jul 2, 2018	M	744	—	A	25,109	D
Common Stock; $.01 Par Value	Jul 2, 2018	F	182	$25.69	D	24,927	D
Common Stock; $.01 Par Value^F7,F3	Jul 2, 2018	M	382	—	A	16,807	I	By husband
Common Stock; $.01 Par Value^F3	Jul 2, 2018	F	94	$25.69	D	16,713	I	By husband
Common Stock; $.01 Par Value^F8	Jul 2, 2018	M	1,009	—	A	25,936	D
Common Stock; $.01 Par Value	Jul 2, 2018	F	246	$25.69	D	25,690	D
Common Stock; $.01 Par Value^F9,F3	Jul 2, 2018	M	534	—	A	17,247	I	By husband
Common Stock; $.01 Par Value^F3	Jul 2, 2018	F	131	$25.69	D	17,116	I	By husband
Common Stock; $.01 Par Value^F10	Jul 2, 2018	M	2,646	—	A	28,336	D
Common Stock; $.01 Par Value	Jul 2, 2018	F	645	$25.69	D	27,691	D
Common Stock; $.01 Par Value^F11,F3	Jul 2, 2018	M	1,109	—	A	18,225	I	By husband
Common Stock; $.01 Par Value^F3	Jul 2, 2018	F	271	$25.69	D	17,954	I	By husband

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F6	—	Jul 2, 2018	M	744	D	—	—	Common Stock	744	0	D
Restricted Stock Units^F7,F3	—	Jul 2, 2018	M	382	D	—	—	Common Stock	382	0	I
Restricted Stock Units^F8	—	Jul 2, 2018	M	1,009	D	—	—	Common Stock	1,009	1,009	D
Restricted Stock Units^F9,F3	—	Jul 2, 2018	M	534	D	—	—	Common Stock	534	535	I
Restricted Stock Units^F10	—	Jul 2, 2018	M	2,646	D	—	—	Common Stock	2,646	5,294	D
Restricted Stock Units^F11,F3	—	Jul 2, 2018	M	1,109	D	—	—	Common Stock	1,109	2,218	I

Explanation of responses

F1The reporting person purchased 313 shares of the issuer's common stock on December 29, 2017, through the issuer's Employee Stock Purchase Plan.
F10Each 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.
F11Each 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, 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.
F2The reporting person's husband purchased 292 shares of the issuer's common stock on December 29, 2017, through the issuer's Employee Stock Purchase Plan.
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.
F4The reporting person purchased 444 shares of the issuer's common stock on June 29, 2018, through the issuer's Employee Stock Purchase Plan.
F5The reporting person's husband purchased 456 shares of the issuer's common stock on June 29, 2018, through the issuer's Employee Stock Purchase Plan.
F6Each 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, 2016. The vested shares were issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares lapsed.
F7Each 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, 2016. The vested shares were issued to the reporting person's husband on the vesting dates, at which time all restrictions on the vested shares lapsed.
F8Each 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.
F9Each 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's husband on the vesting dates, at which time all restrictions on the vested shares will lapse.