-----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, G6PaplseT1X+LW0ZRxk5S/O/MtY/jblbcVk+5xjhcrC2qKZL/Mz71XU3epA1n8TN xufi+Z1UmHZm0R0OwUgQWg== 0001140361-09-004040.txt : 20090213 0001140361-09-004040.hdr.sgml : 20090213 20090213161002 ACCESSION NUMBER: 0001140361-09-004040 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aldrich George E CENTRAL INDEX KEY: 0001338069 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06407 FILM NUMBER: 09603549 BUSINESS ADDRESS: BUSINESS PHONE: 5706145000 MAIL ADDRESS: STREET 1: C/O SOUTHERN UNION COMPANY STREET 2: 417 LACKAWANNA AVENUE CITY: SCRANTON STATE: PA ZIP: 18503 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHERN UNION CO CENTRAL INDEX KEY: 0000203248 STANDARD INDUSTRIAL CLASSIFICATION: NATURAL GAS TRANSMISSION [4922] 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 X0303 5 2008-12-31 0 0 0 0000203248 SOUTHERN UNION CO SUG 0001338069 Aldrich George E C/O SOUTHERN UNION COMPANY 5444 WESTHEIMER ROAD HOUSTON TX 77056 0 1 0 0 V.P. - Controller & CAO Common Stock 2008-12-31 5 P 0 16.481 A 623.7543 I 401(K) Plan Common Stock 2778 D Cash Restricted Units Common Stock 1403 1403 D Stock Appreciation Rights 28.07 2016-12-27 Common Stock 13361 13361 D Employee Stock Option (right to purchase) 24.80 2015-09-02 Common Stock 15000 15000 D Cash Restricted Units Common Stock 4072 4072 D Stock Appreciation Rights 28.48 Common Stock 29014 29014 D Cash Restricted Units Common Stock 8546 8546 D Stock Appreciation Rights 12.55 2018-12-15 Common Stock 35124 35124 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 the plan statement for the period ended December 31, 2008. Of these shares, 1,978 shares are held directly and 800 shares are restricted. Restrictions on the remaining 800 restricted shares will expire on September 2, 2009. 4,209 cash restricted units were awarded to the Reporting Person on December 28, 2006 (the "Grant Date 2006"). The cash restricted units 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 Grant Date 2006. To date restrictions on 2,806 of the cash restricted units have been settled in cash. 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 of Grant Date 2006. The award will vest in equal annual installments on the first, second and third anniversaries of Grant Date 2006. To date 8,907 stock appreciation rights have vested. 11,250 options have vested and are currently exercisable. The remaining 3,750 options will vest on September 2, 2009. 6,108 cash restricted units were awarded to the Reporting Person on December 17, 2007 (the "Grant Date 2007"). The cash restricted units 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 the award will expire in equal annual installments on the first, second and third anniversaries of the Grant Date 2007. To date restrictions have expired on 2,036 of the cash restricted units. 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 Grant Date 2007. The award will vest in equal annual installments on the first, second and third anniversaries of Grant Date 2007. To date 9,671 stock appreciation rights have vested. 8,546 cash restricted units were awarded to the Reporting Person on December 15, 2008 (the "Grant Date 2008"). The cash restricted units 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 the award will expire in equal annual installments on the first, second and third anniversaries of the Grant Date 2008. Stock appreciation rights will be settled in shares of common stock at an exercise price of $12.55 per share, which was equal to the closing price on Grant Date 2008. The award will vest in equal annual installments on the first, second and third anniversaries of Grant Date 2008. Robert M. Kerrigan, III for George E. Aldrich 2009-02-13 -----END PRIVACY-ENHANCED MESSAGE-----