Filing Details
- Accession Number:
- 0001127602-12-024190
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-09 17:06:53
- Reporting Period:
- 2012-08-07
- Filing Date:
- 2012-08-09
- Accepted Time:
- 2012-08-09 17:06:53
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
7332 | Southwestern Energy Co | SWN | Crude Petroleum & Natural Gas (1311) | 710205415 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1103813 | D Gregory Kerley | Suite 125 2350 N. Sam Houston Parkway East Houston TX 77032 | Executive Vice President & Cfo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-08-07 | 152,076 | $1.43 | 1,270,820 | No | 4 | M | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
Common Stock | Disposition | 2012-08-07 | 152,076 | $31.25 | 1,118,744 | No | 4 | S | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
Common Stock | Acquisiton | 2012-08-07 | 41,785 | $17.75 | 1,160,529 | No | 4 | M | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
Common Stock | Disposition | 2012-08-07 | 41,785 | $31.25 | 1,118,744 | No | 4 | S | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
Common Stock | Acquisiton | 2012-08-07 | 204 | $30.95 | 25,720 | No | 5 | J | Indirect | By 401(k) Plan |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
No | 4 | S | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
No | 4 | M | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
No | 4 | S | Indirect | by Greg D. Kerley and Beth C. Kerley Joint Revocable Trust |
No | 5 | J | Indirect | By 401(k) Plan |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options (Right to Buy) | Disposition | 2012-08-07 | 152,076 | $0.00 | 152,076 | $1.44 |
Common Stock | Stock Options (Right to Buy) | Disposition | 2012-08-07 | 41,785 | $0.00 | 41,785 | $17.75 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2003-12-11 | 2012-12-11 | No | 4 | M | Direct |
0 | 2006-12-08 | 2012-12-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 86,828 | Direct | |
Common Stock | 1,994 | Indirect | By JGH Irrevocable Trust; Greg D. Kerley, Grantor |
Common Stock | 1,475 | Indirect | By PAK Irrevocable Trust; Greg D. Kerley, Grantor |
Common Stock | 1,475 | Indirect | By TMH Irrevocable Trust; Greg D. Kerley, Grantor |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options (Right to Buy) | $2.65 | 2004-12-10 | 2013-12-10 | 216,718 | 216,718 | Direct |
Common Stock | Stock Options (Right to Buy) | $20.34 | 2007-12-11 | 2013-12-11 | 38,783 | 38,783 | Direct |
Common Stock | Stock Options (Right to Buy) | $27.18 | 2008-12-13 | 2014-12-13 | 40,201 | 40,201 | Direct |
Common Stock | Stock Options (Right to Buy) | $30.68 | 2009-12-11 | 2015-12-11 | 31,610 | 31,610 | Direct |
Common Stock | Stock Options (Right to Buy) | $36.22 | 2011-12-09 | 2017-12-09 | 27,760 | 27,760 | Direct |
Common Stock | Stock Options (Right to Buy) | $40.73 | 2010-12-10 | 2016-12-10 | 21,870 | 21,870 | Direct |
Common Stock | Stock Options (Right to Buy) | $36.87 | 2012-12-08 | 2018-12-08 | 29,270 | 29,270 | Direct |
Common Stock | Phantom Stock | $0.00 | 51,590 | 51,590 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2013-12-10 | 216,718 | 216,718 | Direct |
2013-12-11 | 38,783 | 38,783 | Direct |
2014-12-13 | 40,201 | 40,201 | Direct |
2015-12-11 | 31,610 | 31,610 | Direct |
2017-12-09 | 27,760 | 27,760 | Direct |
2016-12-10 | 21,870 | 21,870 | Direct |
2018-12-08 | 29,270 | 29,270 | Direct |
51,590 | 51,590 | Direct |
Footnotes
- The non-derivative securities indirectly owned by the Greg D. Kerley and Beth C. Kerley Joint Revocable Trust were previously reported as directly owned by the reporting person.
- This transaction was executed in multiple trades at prices ranging from $30.80 to $31.65. The price reported above in Column 4 reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon written request, to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.
- Purchased through the Company's 401(k) plan from January 1, 2012, through August 7, 2012. The information in this report is based on a plan statement dated August 7, 2012.
- Each share of phantom stock, which is currently held in the Southwestern Energy Company Nonqualified Retirement Plan investment fund, represents the right to receive the economic equivalent of one share of Southwestern Energy Company common stock.
- Shares of phantom stock are payable in cash following termination of the reporting person's employment with Southwestern Energy Company. The reporting person may transfer his phantom stock account into an alternative investment account at any time.