-----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, DAnQmB4eninIZth1VRNLPWunNTKf3AFcifNxfx9vd7FAgbh4ETgkeKHUH+jiVios hyTfHoaH1y2sdB+SOqIPjg== 0001140361-09-023164.txt : 20091013 0001140361-09-023164.hdr.sgml : 20091012 20091013164620 ACCESSION NUMBER: 0001140361-09-023164 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091009 FILED AS OF DATE: 20091013 DATE AS OF CHANGE: 20091013 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: 091117378 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 4 1 doc1.xml FORM 4 X0303 4 2009-10-09 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 2009-10-09 4 P 0 80.1468 20.99 A 11176.6807 I Supplemental Deferred Compensation Plan Common Stock 2774.3058 I 401(k) Plan Common Stock 1037.284 D Common Stock 1050 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 Unitts Common Stock 2027 2027 D Stock Appreciation Rights 28.07 2016-12-28 Common Stock 19299 19299 D Cash Restricted Units Common Stock 5430 5430 D Stock Appreciation Rights 28.48 2017-12-17 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 amount reflects shares acquired from reinvested dividend proceeds awarded to the Reporting Person as part of the Company's quarterly cash dividend. The Company makes separate filings for these dividend transactions. This information concerns shares held under the Issuer's Supplemental Deferred Compensation Plan. Shares purchased for the plan by the plan trustee are purchased at the sole discretion of the trustee, at such prices as were available in the open market at the time of such purchases. This information concerns shares held under the Issuer's 401(k) Plan. Information reported herein is based on a plan statement for the period ended December 31, 2008 The Reporting Person owns these shares jointly with his spouse. All of the options are fully vested and exercisable. 6,079 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 4,052 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 12,866 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 Richard N. Marshall 2009-10-13 -----END PRIVACY-ENHANCED MESSAGE-----