-----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, VUPLifYbRp6oEhsHFFueeL6tj9MCeeMmnM9WdtCOkIhJPFfdNcS3VaZmk2uK7icL L4xRra/F5vGz7A/eT3sc5w== 0001140361-08-004310.txt : 20080214 0001140361-08-004310.hdr.sgml : 20080214 20080214180617 ACCESSION NUMBER: 0001140361-08-004310 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marshall Richard N CENTRAL INDEX KEY: 0001380705 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06407 FILM NUMBER: 08619912 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 5 1 doc1.xml FORM 5 X0202 5 2007-12-31 0 0 0 0000203248 SOUTHERN UNION CO SUG 0001380705 Marshall Richard N 5444 WESTHEIMER ROAD HOUSTON TX 77056-5306 0 1 0 0 SVP and CFO Common Stock 2007-12-31 5 A 0 38.1145 A 2964.4499 I 401(k) Plan Common Stock 2007-12-31 5 A 0 1012.4302 A 10586.6870 I Supplemental Deferred Compensation Plan Common Stock 1037.284 D Common Stock 264 D Common Stock (Restricted) 786 D Cash Restricted Units Common Stock 6079 6079 D Stock Appreciation Rights 28.07 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 Cash Restricted Units Common Stock 8144 8144 D Stock Appreciation Rights 28.48 Common Stock 38685 38685 D This information concerns shares held under the Issuer's 401(k) Plan. This report reflects shares purchased for the plan by the plan trustee, at the sole discretion of the trustee, at such prices as were available in the open market at the time of such purchases. Information reported herein is based on a plan statement for the period ended December 31, 2007. This information concerns shares held under the Issuer's Supplemental Deferred Compensation Plan. This report reflects shares purchased for the plan by the plan trustee, at the sole discretion of the trustee, at such prices as were available on the open market at the time of such purchases. Information reported herein is based on a plan statement for the period ended December 31, 2007. 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 July 26, 2008 and 262 on July 26, 2009. Restrictions on 262 shares have expired and are held directly. 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. The Reporting Person will become vested in these options pursuant to the following schedule: 1,654 on March 1, 2008 and 1,654 on March 1, 2009. The remaining 4,961 options are currently exercisable. The Reporting Person will become vested in these options pursuant to the following schedule: 170 on July 26, 2008 and 170 on July 26, 2009. The remaining 343 options are currently exercisable. The cash restricted units awarded on December 17, 2007 (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 $28.48 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. Robert M. Kerrigan, III for Richard N. Marshall 2008-02-14 -----END PRIVACY-ENHANCED MESSAGE-----