-----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, P1Fy2/b63DvxhpHFKMOs4BvRVVuK8JaQJZ7IZEi5aO3vZjiPBwZ6wocwmRvupNSh atl2QTP+FrxAtVWtl3DBHw== 0001140361-10-006248.txt : 20100212 0001140361-10-006248.hdr.sgml : 20100212 20100212190333 ACCESSION NUMBER: 0001140361-10-006248 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 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: 10601816 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 2009-12-31 0 0 0 0000203248 SOUTHERN UNION CO SUG 0001380705 Marshall Richard N 5444 WESTHEIMER ROAD HOUSTON TX 77056-5306 0 1 0 0 SVP & Chief Financial Officer Common Stock 2009-12-31 5 P 0 102.7579 A 2877.0637 I 401(k) Plan Common Stock 11294.6060 I Issuer's Supplemental Deferred Compensation 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 Stock Appreciation Rights 28.07 2016-12-28 Common Stock 19299 19299 D Cash Restricted Units Common Stock 2715 2715 D Stock Appreciation Rights 28.48 2017-12-17 Common Stock 38685 38685 D Cash Restricted Units Common Stock 15464 15464 D Stock Appreciation Rights 12.55 2018-12-15 Common Stock 95336 95336 D Cash Restricted Units Common Stock 13305 13305 D Stock Appreciation Rights (Common Stock) 21.64 2019-12-15 Common Stock 46703 46703 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, 2009. 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, 2009. The Reporting Person owns these shares jointly with his spouse. The options are fully vested and exerciseable. The stock appreciation rights are fully vested and exerciseable. 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 5,429 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, 25,790 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. To date, restrictions have expired on 7,731 of the cash restricted units. 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. To date, restrictions have expired on 31,778 shares. 13,305 cash restricted units were awarded to the Reporting Person on December 15, 2009 ("Grant Date 2009"). The cash restricted units permit the Reporting Person 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 installments on the first, second and third anniversaries of Grant Date 2009. Stock appreciation rights will be settled in shares of common stock at an exercise price of $21.64 per share which was equal to the closing price on the Grant Date 2009. The award will vest in equal installments on the first, second and third anniversaries of Grant Date 2009. Robert M. Kerrigan, III for Richard N. Marshall 2010-02-12 -----END PRIVACY-ENHANCED MESSAGE-----