-----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, WnytjUmyq60qR8I5hr8/O6dYc8Yso03GhdVWfr+0zqO/HJXfcuP75CAOPV474s/p huSGBcLXYfHVGUJaPkr6iQ== 0001140361-09-004199.txt : 20090217 0001140361-09-004199.hdr.sgml : 20090216 20090217103549 ACCESSION NUMBER: 0001140361-09-004199 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gaudiosi Monica M CENTRAL INDEX KEY: 0001385858 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06407 FILM NUMBER: 09608121 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 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 0001385858 Gaudiosi Monica M 5444 WESTHEIMER ROAD HOUSTON TX 77056-5306 0 1 0 0 SVP & General Counsel Common Stock 2008-12-31 5 P 0 831.211 A 1861.8708 I 401(k) Plan Common Stock 9400 D Common Stock (Restricted) 2100 D Employee Stock Option (Right to purchase) 24.0572 2015-07-26 Common Stock 1365 1365 D Employee Stock Option (Right to purchase) 22.68 2015-11-11 Common Stock 25000 25000 D Cash Restricted Units Common Stock 2494 2494 D Stock Appreciation Rights 28.07 2016-12-27 Common Stock 23753 23753 D Cash Restricted Units Common Stock 5430 5430 D Stock Appreciation Rights 28.48 Common Stock 38685 38685 D Cash Restricted Units Common Stock 23195 23195 D Stock Appreciation Rights 12.55 2018-12-15 Common Stock 95336 95336 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, 2008. Restrictions on 1,575 shares have lapsed and are held directly. The restrictions expire on the remaining 525 shares on July 26, 2009. 1024 options are vested and currently exercisable. The Reporting Person will become vested in the remaining 341 options on July 26, 2009. 18,750 options are currently exercisable.The Reporting Person will become vested in the remaining 6,250 on November 11, 2009. 7,482 cash restricted units were awarded to the Reporting Person on December 28, 2006 ("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 the award will expire in equal annual installments on the first, second and third anniversaries of Grant Date 2006. To date, restrictions have expired on 4,988 of the cash restricted units. 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 Grant Date 2006. The award will vest in equal annual installments on the first, second and third anniversaries of the Grant Date 2006. To date 15,834 stock appreciation rights have vested. 8,144 cash restricted units were awarded to the Reporting Person on December 17, 2007 ("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 Grant Date 2007. To date, restrictions have expired on 2,714 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 the Grant Date 2007. The award will vest in equal annual installments on the first, second and third anniversaries of Grant Date 2007. To date, 12,895 stock appreciation rights have vested. 23,195 cash restricted units were awarded to the Reporting Person on December 15, 2008 ("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 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 the 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 Monica M. Gaudiosi 2009-02-14 -----END PRIVACY-ENHANCED MESSAGE-----