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SM Energy Co — Director's Dealing 2017
Jul 6, 2017
31371_dirs_2017-07-06_f8b40a18-be4b-47d1-87ca-f9a3e49b0b0a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SM Energy Co (SM)
CIK: 0000893538
Period of Report: 2017-07-03
Reporting Person: Lutey Mary Ellen (Sr. VP & Regional Manager)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-30 | Common Stock; $.01 Par Value | J | 356 | $23.868 | Acquired | 21491 | Direct |
| 2016-12-30 | Common Stock; $.01 Par Value | J | 362 | $23.868 | Acquired | 14277 | Indirect |
| 2017-06-30 | Common Stock; $.01 Par Value | J | 575 | $14.05 | Acquired | 22066 | Direct |
| 2017-06-30 | Common Stock; $.01 Par Value | J | 585 | $14.05 | Acquired | 14862 | Indirect |
| 2017-07-03 | Common Stock; $.01 Par Value | M | 372 | — | Acquired | 22438 | Direct |
| 2017-07-03 | Common Stock; $.01 Par Value | F | 102 | $16.53 | Disposed | 22336 | Direct |
| 2017-07-03 | Common Stock; $.01 Par Value | M | 199 | — | Acquired | 15061 | Indirect |
| 2017-07-03 | Common Stock; $.01 Par Value | F | 53 | $16.53 | Disposed | 15008 | Indirect |
| 2017-07-03 | Common Stock; $.01 Par Value | M | 743 | — | Acquired | 23079 | Direct |
| 2017-07-03 | Common Stock; $.01 Par Value | F | 204 | $16.53 | Disposed | 22875 | Direct |
| 2017-07-03 | Common Stock; $.01 Par Value | M | 381 | — | Acquired | 15389 | Indirect |
| 2017-07-03 | Common Stock; $.01 Par Value | F | 101 | $16.53 | Disposed | 15288 | Indirect |
| 2017-07-03 | Common Stock; $.01 Par Value | M | 1009 | — | Acquired | 23884 | Direct |
| 2017-07-03 | Common Stock; $.01 Par Value | F | 276 | $16.53 | Disposed | 23608 | Direct |
| 2017-07-03 | Common Stock; $.01 Par Value | M | 534 | — | Acquired | 15822 | Indirect |
| 2017-07-03 | Common Stock; $.01 Par Value | F | 145 | $16.53 | Disposed | 15677 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-07-03 | Restricted Stock Units | $ | M | 372 | Disposed | Common Stock (372.0) | Direct | |
| 2017-07-03 | Restricted Stock Units | $ | M | 199 | Disposed | Common Stock (199.0) | Indirect | |
| 2017-07-03 | Restricted Stock Units | $ | M | 743 | Disposed | Common Stock (743.0) | Direct | |
| 2017-07-03 | Restricted Stock Units | $ | M | 381 | Disposed | Common Stock (381.0) | Indirect | |
| 2017-07-03 | Restricted Stock Units | $ | M | 1009 | Disposed | Common Stock (1009.0) | Direct | |
| 2017-07-03 | Restricted Stock Units | $ | M | 534 | Disposed | Common Stock (534.0) | Indirect |
Footnotes
F1: The reporting person purchased 356 shares of the issuer's common stock on December 30, 2016, through the issuer's Employee Stock Purchase Plan.
F2: The reporting person's husband purchased 362 shares of the issuer's common stock on December 30, 2016, through the issuer's Employee Stock Purchase Plan.
F3: The 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.
F4: The reporting person purchased 575 shares of the issuer's common stock on June 30, 2017, through the issuer's Employee Stock Purchase Plan.
F5: The reporting person's husband purchased 585 shares of the issuer's common stock on June 30, 2017, through the issuer's Employee Stock Purchase Plan.
F6: Each 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.
F7: Each 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's husband on the vesting dates, at which time all restrictions on the vested shares lapsed.
F8: Each 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.
F9: Each 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 were issued to the reporting person's husband on the vesting dates, at which time all restrictions on the vested shares lapsed.
F10: Each 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, 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.
F11: Each 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 were issued to the reporting person's husband on the vesting dates, at which time all restrictions on the vested shares lapsed.