-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ParELCR7KOQym28pYAZVq+cEDUp3HZmXLI70xziBXOC58rrbLH1xzlCU7yLAaD8r PX2pleieULypSY5Bz6+ZUg== 0001140361-07-000334.txt : 20070103 0001140361-07-000334.hdr.sgml : 20070101 20070103200743 ACCESSION NUMBER: 0001140361-07-000334 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061228 FILED AS OF DATE: 20070103 DATE AS OF CHANGE: 20070103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marshall Richard N CENTRAL INDEX KEY: 0001380705 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06407 FILM NUMBER: 07506772 BUSINESS ADDRESS: BUSINESS PHONE: 713.989.2000 MAIL ADDRESS: STREET 1: 5444 WESTHEIMER ROAD CITY: HOUSTON STATE: TX ZIP: 77056 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHERN UNION CO CENTRAL INDEX KEY: 0000203248 STANDARD INDUSTRIAL CLASSIFICATION: NATURAL GAS DISTRIBUTION [4924] IRS NUMBER: 750571592 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5444 WESTHEIMER RD CITY: HOUSTON STATE: TX ZIP: 77056-5306 BUSINESS PHONE: (713) 989-2000 MAIL ADDRESS: STREET 1: 5444 WESTHEIMER RD CITY: HOUSTON STATE: TX ZIP: 77056-5306 4 1 doc1.xml FORM 4 X0202 4 2006-12-28 0 0000203248 SOUTHERN UNION CO SUG 0001380705 Marshall Richard N 5444 WESTHEIMER ROAD HOUSTON TX 77056-5306 0 1 0 0 SVP & Chief Financial Officer Common Stock 2926.3354 I 401(k) Plan Common Stock 9574.2568 I Supplemental Deferred Compensation Plan Common Stock 1037.284 D Common Stock 264 D Common Stock (Restricted) 786 D Cash Restricted Units 2006-12-28 4 A 0 6079 A Common Stock 6079 6079 D Stock Appreciation Rights 28.07 2006-12-28 4 A 0 19299 A 2016-12-27 Common Stock 19299 19299 D Employee Stock Option (Right to Purchase) 16.8255 2014-02-06 Common Stock 8269 8269 D Employee Stock Option (Right to Purchase) 24.057 2015-07-26 Common Stock 683 683 D This information concerns shares held under the Issuer's 401(k) Plan as of 11/7/06. This information concerns shares held under the Issuer's Supplemental Deferred Compensation Plan as of 11/7/06. The Reporting Person owns these shares jointly with his spouse; however, the Reporting Person disclaims beneficial ownership in such shares except to the extent of his pecuniary interest therein. The restrictions on these shares expire pursuant to the following schedule: 262 on 7/26/07; 262 on 7/26/08; and 262 on 7/26/09. The cash restricted units awarded on December 28, 2006 (the "Grant Date") permit the recipient to receive, on predetermined dates upon expiration of applicable restrictions, cash in an amount equal to a specified number of shares of the Company?s common stock valued at the closing price of the Company?s common stock on such dates. Restrictions on each award will expire in equal annual installments on the first, second and third anniversaries of the Grant Date. Stock appreciation rights will be settled in shares of common stock at an exercise price of $28.07 per share, which was equal to the closing price on the Grant Date. The award will vest in equal annual installments on the first, second and third anniversaries of the Grant Date. These options vest pursuant to the following schedule: 1,654 on 3/1/07; 1,654 on 3/1/08; and 1,654 on 3/1/09. The remaining 3,307 shares are currently exercisable. These options vest pursuant to the following schedule: 170 on 7/26/07; 170 on 7/26/08; and 170 on 7/26/09. The remaining 173 shares are currently exercisable. Robert M. Kerrigan, III for Richard N. Marshall 2007-01-03 -----END PRIVACY-ENHANCED MESSAGE-----