-----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, AKd1W3xILqyTOOyDkQgfQXgkfpY2ylwF5jEYbiZ0QBNj3k15obL8ZiiC+rxV2XFF f2imG+hlxwASqFzHGFULGw== 0001140361-11-009465.txt : 20110214 0001140361-11-009465.hdr.sgml : 20110214 20110214193604 ACCESSION NUMBER: 0001140361-11-009465 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 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: 11611686 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 2010-12-31 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 Senior V.P. - Controller & CAO Common Stock 2010-12-31 5 P 0 16.3032 A 663.1614 I 401(K) Plan Common Stock 2567 D Employee Stock Option (right to purchase) 24.80 2015-09-02 Common Stock 15000 15000 D Stock Appreciation Rights 28.07 2016-12-27 Common Stock 13361 13361 D Stock Appreciation Rights 28.48 Common Stock 29014 29014 D Cash Restricted Units Common Stock 2849 2849 D Stock Appreciation Rights 12.55 2018-12-15 Common Stock 35124 35124 D Cash Restricted Units Common Stock 3455 3455 D Stock Appreciation Rights 21.64 2019-12-15 Common Stock 18190 18190 D Cash Restricted Units Common Stock 4236 4236 D Stock Appreciation Rights 24.80 2020-12-13 Common Stock 14074 14074 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, 2010. These options are fully vested and exerciseable. The stock appreciation rights are fully vested and exerciseable. 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. To date restrictions on 5,697 cash restricted units have expired. 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. To date, 23,416 stock appreciation rights are currently vested and exerciseable. 5,182 cash restricted units were awarded to the Reporting Person on December 15, 2009 (the "Grant Date 2009"). 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 2009. To date, restrictions on 1,727 cash restricted units have expired. 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 Grant Date 2009. The award will vest in equal annual installments on the first, second and third anniversaries of Grant Date 2009. To date, 6,063 stock appreciation rights are currently vested and exerciseable. 4,236 cash restricted units were awarded to the Reporting Person on December 13, 2010 (the "Grant Date 2010"). 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 2010. Stock appreciation rights will be settled in shares of common stock at an exercise price of $24.80 per share, which was equal to the closing price on Grant Date 2010. The award will vest in equal annual installments on the first, second and third anniversaries of Grant Date 2010. Robert M. Kerrigan, III for George E. Aldrich 2011-02-14 -----END PRIVACY-ENHANCED MESSAGE-----