Form 4 for SM SM Energy Co
Accepted 2021-07-06 00:00:00 ET · period of report 2021-07-01 · accession 0000893538-21-000056 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-07-06 | 2021-07-01 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | M - OptEx | — | +2,969 | 38.7K | +8% | — |
| D | 2021-07-06 | 2021-06-30 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | J - Other | $5.20 | +1,278 | 60.9K | +2% | +$6,646 |
| DI | 2021-07-06 | 2021-06-30 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | J - Other | $5.20 | +1,224 | 36.1K | +4% | +$6,365 |
| DM | 2021-07-06 | 2021-07-01 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | M - OptEx | — | +5,892 | 66.3K | +10% | — |
| DM | 2021-07-06 | 2021-07-01 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | F - Tax | $24.63 | -1,704 | 65.1K | -3% | -$42.0K |
| DMI | 2021-07-06 | 2021-07-01 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | F - Tax | $24.63 | -859 | 36.9K | -2% | -$21.2K |
| DMI | 2021-07-06 | 2021-07-01 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | M - OptEx | — | -2,969 | 1,801 | -62% | — |
| DM | 2021-07-06 | 2021-07-01 | SM | Lutey Mary Ellen | SVP - Expl, Development, EHS | M - OptEx | — | -5,892 | 4,190 | -58% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $.01 Par Value | 2021-07-01 | M | A | 1,168 | — | 37,229 | I By Spouse | — | — | (F5) 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, 2019. The vested shares will be issued to the Reporting Person's spouse on the vesting dates, at which time all restrictions on the vested shares will lapse. (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 2 | Common | Common Stock, $.01 Par Value | 2021-06-30 | J | A | 1,278 | $5.20 | 60,918 | D By Spouse | — | — | |
| 3 | Common | Common Stock, $.01 Par Value | 2021-06-30 | J | A | 1,224 | $5.20 | 36,061 | I By Spouse | — | — | (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 4 | Common | Common Stock, $.01 Par Value | 2021-07-01 | M | A | 1,703 | — | 62,621 | D By Spouse | — | — | (F4) 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, 2019. 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. |
| 5 | Common | Common Stock, $.01 Par Value | 2021-07-01 | F | D | 493 | $24.63 | 62,128 | D By Spouse | — | — | |
| 6 | Common | Common Stock, $.01 Par Value | 2021-07-01 | F | D | 521 | $24.63 | 38,171 | I | — | — | (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 7 | Common | Common Stock, $.01 Par Value | 2021-07-01 | F | D | 338 | $24.63 | 36,891 | I | — | — | (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 8 | Common | Common Stock, $.01 Par Value | 2021-07-01 | M | A | 4,189 | — | 66,317 | D | — | — | (F6) 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, 2020. 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. |
| 9 | Common | Common Stock, $.01 Par Value | 2021-07-01 | F | D | 1,211 | $24.63 | 65,106 | D | — | — | |
| 10 | Common | Common Stock, $.01 Par Value | 2021-07-01 | M | A | 1,801 | — | 38,692 | I | — | — | (F7) 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, 2020. The vested shares will be issued to the Reporting Person's spouse on the vesting dates, at which time all restrictions on the vested shares will lapse. (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 11 | Derivative | Restricted Stock Units | 2021-07-01 | M | D | 1,168 | — | 0 | I By Spouse | — · — to — | 1,168 Common Stock, $.01 Par Value | (F5) 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, 2019. The vested shares will be issued to the Reporting Person's spouse on the vesting dates, at which time all restrictions on the vested shares will lapse. (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 12 | Derivative | Restricted Stock Units | 2021-07-01 | M | D | 1,703 | — | 0 | D By Spouse | — · — to — | 1,703 Common Stock, $.01 Par Value | (F4) 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, 2019. 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. |
| 13 | Derivative | Restricted Stock Units | 2021-07-01 | M | D | 1,801 | — | 1,801 | I | — · — to — | 1,801 Common Stock, $.01 Par Value | (F7) 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, 2020. The vested shares will be issued to the Reporting Person's spouse on the vesting dates, at which time all restrictions on the vested shares will lapse. (F3) The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan. |
| 14 | Derivative | Restricted Stock Units | 2021-07-01 | M | D | 4,189 | — | 4,190 | D | — · — to — | 4,189 Common Stock, $.01 Par Value | (F6) 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, 2020. 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. |