0001140361-14-027570.txt : 20140703 0001140361-14-027570.hdr.sgml : 20140703 20140703110025 ACCESSION NUMBER: 0001140361-14-027570 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140701 FILED AS OF DATE: 20140703 DATE AS OF CHANGE: 20140703 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SM Energy Co CENTRAL INDEX KEY: 0000893538 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 410518430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1775 SHERMAN STREET STREET 2: SUITE 1200 CITY: DENVER STATE: CO ZIP: 80203 BUSINESS PHONE: 303-861-8140 MAIL ADDRESS: STREET 1: 1775 SHERMAN STREET STREET 2: SUITE 1200 CITY: DENVER STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: ST MARY LAND & EXPLORATION CO DATE OF NAME CHANGE: 19940228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lutey Mary Ellen CENTRAL INDEX KEY: 0001563908 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31539 FILM NUMBER: 14959093 MAIL ADDRESS: STREET 1: 1775 SHERMAN STREET STREET 2: SUITE 1200 CITY: DENVER STATE: CO ZIP: 80203 4 1 doc1.xml FORM 4 X0306 4 2014-07-01 0 0000893538 SM Energy Co SM 0001563908 Lutey Mary Ellen 1775 SHERMAN STREET SUITE 1200 DENVER CO 80203 0 1 0 0 VP & Regional Manager Common Stock; $.01 Par Value 2013-12-31 4 J 0 153 51.5185 A 21529 D Common Stock; $.01 Par Value 2013-12-31 4 J 0 174 51.5185 A 21703 I By husband Common Stock; $.01 Par Value 2014-06-30 4 J 0 200 70.6435 A 21903 D Common Stock; $.01 Par Value 2014-06-30 4 J 0 201 70.6435 A 22104 I By husband Common Stock; $.01 Par Value 2014-07-01 4 M 0 376 A 22480 D Common Stock; $.01 Par Value 2014-07-01 4 F 0 124 84.1 D 22356 D Common Stock; $.01 Par Value 2014-07-01 4 M 0 292 A 22648 I By husband Common Stock; $.01 Par Value 2014-07-01 4 F 0 96 84.1 D 22552 I By husband Common Stock; $.01 Par Value 2014-07-01 4 M 0 373 A 22925 D Common Stock; $.01 Par Value 2014-07-01 4 F 0 122 84.1 D 22803 D Common Stock; $.01 Par Value 2014-07-01 4 M 0 297 A 23100 I By husband Common Stock; $.01 Par Value 2014-07-01 4 F 0 97 84.1 D 23003 I By husband Common Stock; $.01 Par Value 2014-07-01 4 M 0 486 A 23489 D Common Stock; $.01 Par Value 2014-07-01 4 F 0 159 84.1 D 23330 D Common Stock; $.01 Par Value 2014-07-01 4 M 0 277 A 23607 I By husband Common Stock; $.01 Par Value 2014-07-01 4 F 0 91 84.1 D 23516 I By husband Common Stock; $.01 Par Value 2014-07-02 4 M 0 1090 A 24606 D Common Stock; $.01 Par Value 2014-07-02 4 F 0 357 84.35 D 24249 D Common Stock; $.01 Par Value 2014-07-02 4 M 0 847 A 25096 I By husband Common Stock; $.01 Par Value 2014-07-02 4 F 0 277 84.35 D 24819 I By husband Restricted Stock Units 2014-07-01 4 M 0 376 D Common Stock 376 0 D Restricted Stock Units 2014-07-01 4 M 0 292 D Common Stock 292 0 I By husband Restricted Stock Units 2014-07-01 4 M 0 373 D Common Stock 373 374 D Restricted Stock Units 2014-07-01 4 M 0 297 D Common Stock 297 298 I By husband Restricted Stock Units 2014-07-01 4 M 0 486 D Common Stock 486 973 D Restricted Stock Units 2014-07-01 4 M 0 277 D Common Stock 277 557 I By husband Performance Share Units 2014-07-02 4 A 0 1090 A Common Stock 1090 0 D Performance Share Units 2014-07-02 4 M 0 1090 D Common Stock 1090 1090 D Performance Share Units 2014-07-02 4 A 0 847 A Common Stock 847 847 I By husband Performance Share Units 2014-07-02 4 M 0 847 D Common Stock 847 0 I By husband The reporting person purchased 153 shares of the issuer's common stock on December 31, 2013, through the issuer's Employee Stock Purchase Plan. The reporting person's husband purchased 174 shares of the issuer's common stock on December 31, 2013, through the issuer's Employee Stock Purchase Plan. The reporting person purchased 200 shares of the issuer's common stock on June 30, 2014, through the issuer's Employee Stock Purchase Plan. The reporting person's husband purchased 201 shares of the issuer's common stock on June 30, 2014, through the issuer's Employee Stock Purchase Plan. The reporting person's husband is also employed by the issuer, purchases the issuers's common stock through the issuer's Employment Stock Purchase Plan, and receives grants of retricted stock units and performance share awards. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vested over a three-year period, with 1/7th vesting on July 2, 2012, 2/7th vesting on July 2, 2013, and 4/7th vesting on July 1, 2014. The vested shares were issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares lapsed. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2013. The vested shares will be issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares will lapse. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2014. The vested shares will be issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares will lapse. On July 2, 2014, the Compensation Committee of the Board of Directors of the issuer determined that 1,090 shares of the issuer's common stock had been earned by the reporting person under the terms of a grant of performance share units (the "PSUs"), based on the achievement of specific performance criteria that were not tied solely to the market price of the issuer's common stock. The PSUs were granted to the reporting person on July 1, 2011, and represent the right to receive, upon the settlement of the PSUs, the determined number of earned shares of the issuer's common stock based on the achievement of the performance criteria over a three-year performance period (with the determined number of earned shares being within a range of zero to two times the number of PSUs granted on the award date), to the extent that the PSUs have vested under separate employment service vesting provisions. The PSUs vested 1/7th on July 1, 2012, 2/7ths on July 1, 2013, and 4/7ths on July 1, 2014. On July 2, 2014, the Compensation Committee of the Board of Directors of the issuer determined that 847 shares of the issuer's common stock had been earned by the reporting person's husband under the terms of a grant of performance share units (the "PSUs"), based on the achievement of specific performance criteria that were not tied solely to the market price of the issuer's common stock. The PSUs were granted to the reporting person on July 1, 2011, and represent the right to receive, upon the settlement of the PSUs, the determined number of earned shares of the issuer's common stock based on the achievement of the performance criteria over a three-year performance period (with the determined number of earned shares being within a range of zero to two times the number of PSUs granted on the award date), to the extent that the PSUs have vested under separate employment service vesting provisions. The PSUs vested 1/7th on July 1, 2012, 2/7ths on July 1, 2013, and 4/7ths on July 1, 2014 Karin M. Writer (Attorney-In-Fact) 2014-07-03