Filing Details
- Accession Number:
- 0001127602-12-026735
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2012-09-20 11:09:22
- Reporting Period:
- 2012-06-01
- Filing Date:
- 2012-09-20
- Accepted Time:
- 2012-09-20 11:09:22
- Original Submission Date:
- 2012-09-18
- 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 |
---|---|---|---|---|---|---|---|
1382983 | D John Thaeler | Suite 125 2350 N. Sam Houston Parkway East Houston TX 77032 | Former Sr. Vice Pres. Of Sub | No | 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 | Disposition | 2012-06-01 | 11,880 | $0.00 | 178,781 | No | 4 | D | Direct | |
Common Stock | Acquisiton | 2012-09-14 | 10,640 | $2.64 | 189,421 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-09-14 | 3,146 | $17.75 | 192,567 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-09-14 | 17,237 | $20.34 | 209,804 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-09-14 | 13,001 | $27.18 | 222,805 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-09-14 | 14,050 | $30.68 | 236,855 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-09-14 | 100,000 | $36.20 | 136,855 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2012-09-14 | 168 | $30.30 | 28,684 | No | 4 | J | Indirect | By 401(k) Plan |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | D | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | 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 | 2012-09-14 | 10,640 | $0.00 | 10,640 | $2.65 |
Common Stock | Stock Options (Right to Buy) | Disposition | 2012-09-14 | 3,146 | $0.00 | 3,146 | $17.75 |
Common Stock | Stock Options (Right to Buy) | Disposition | 2012-09-14 | 17,237 | $0.00 | 17,237 | $20.34 |
Common Stock | Stock Options (Right to Buy) | Disposition | 2012-09-14 | 13,001 | $0.00 | 13,001 | $27.18 |
Common Stock | Stock Options (Right to Buy) | Disposition | 2012-09-14 | 14,050 | $0.00 | 14,050 | $30.68 |
Common Stock | Phantom Stock | Disposition | 2012-09-14 | 27,702 | $35.09 | 27,702 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2004-12-10 | 2013-12-10 | No | 4 | M | Direct |
0 | 2006-12-08 | 2012-12-08 | No | 4 | M | Direct |
0 | 2007-12-11 | 2013-12-11 | No | 4 | M | Direct |
0 | 2008-12-13 | 2014-12-13 | No | 4 | M | Direct |
0 | 2009-12-11 | 2015-12-11 | No | 4 | M | Direct |
0 | No | 4 | J | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $36.02 to $36.43. 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.
- This Form 4/A is being filed to correct an error on the Form 4 filed September 18, 2012, and to accurately disclose the number of securities beneficially owned by the reporting person in Column 5.
- Purchased through the Company's 401(k) Plan from December 8, 2011, thru June 12, 2012. The information in this report is based on a plan statement dated September 14, 2012.
- Each share of phantom stock currently held in the Southwestern Energy Company Nonqualified Retirement Plan (the "NQ Plan") represents the right to receive the economic equivalent of one share of Southwestern Energy Company common stock.
- Nonqualified Retirement Plan intra-plan transfer out of the Company stock fund and into a new investment fund.
- 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.