Filing Details
- Accession Number:
- 0001127602-10-004602
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2010-02-12 12:00:00
- Reporting Period:
- 2009-12-31
- Filing Date:
- 2010-02-12
- Accepted Time:
- 2010-02-12 16:21:08
- 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 |
---|---|---|---|---|---|---|---|
1103812 | M Harold Korell | Suite 125 2350 N. Sam Houston Parkway East Houston TX 77032 | Executive Chairman | 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 | Disposition | 2009-05-20 | 25,000 | $41.27 | 874,254 | No | 4 | S | Indirect | By Family Limited Partnership |
Common Stock | Disposition | 2009-09-15 | 100,000 | $0.00 | 1,317,076 | No | 5 | J | Direct | |
Common Stock | Acquisiton | 2009-09-15 | 100,000 | $0.00 | 100,000 | No | 5 | J | Indirect | by 2009 Family Limited Partnership |
Common Stock | Disposition | 2009-12-28 | 150,000 | $0.00 | 1,156,748 | No | 5 | G | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By Family Limited Partnership |
No | 5 | J | Direct | |
No | 5 | J | Indirect | by 2009 Family Limited Partnership |
No | 5 | G | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options (Right to Buy) | $0.93 | 2001-12-14 | 2010-12-14 | 352,439 | 352,439 | Direct |
Common Stock | Stock Options (Right to Buy) | $1.21 | 2002-12-20 | 2011-12-20 | 187,014 | 187,014 | Direct |
Common Stock | Stock Options (Right to Buy) | $1.44 | 2003-12-11 | 2012-12-11 | 690,192 | 690,192 | Direct |
Common Stock | Stock Options (Right to Buy) | $2.65 | 2004-12-10 | 2013-12-10 | 451,598 | 451,598 | Direct |
Common Stock | Stock Options (Right to Buy) | $6.23 | 2005-12-09 | 2011-12-09 | 277,776 | 277,776 | Direct |
Common Stock | Stock Options (Right to Buy) | $17.75 | 2006-12-08 | 2012-12-08 | 116,286 | 116,286 | Direct |
Common Stock | Stock Options (Right to Buy) | $20.34 | 2007-12-11 | 2013-12-11 | 122,000 | 122,000 | Direct |
Common Stock | Stock Options (Right to Buy) | $27.18 | 2008-12-13 | 2014-12-13 | 78,980 | 78,980 | Direct |
Common Stock | Stock Options (Right to Buy) | $30.68 | 2009-12-11 | 2015-12-11 | 93,790 | 93,790 | Direct |
Common Stock | Stock Options (Right to Buy) | $40.73 | 2010-12-10 | 2016-12-10 | 3,960 | 3,960 | Direct |
Common Stock | Phantom Stock | $0.00 | 51,996 | 51,996 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2010-12-14 | 352,439 | 352,439 | Direct |
2011-12-20 | 187,014 | 187,014 | Direct |
2012-12-11 | 690,192 | 690,192 | Direct |
2013-12-10 | 451,598 | 451,598 | Direct |
2011-12-09 | 277,776 | 277,776 | Direct |
2012-12-08 | 116,286 | 116,286 | Direct |
2013-12-11 | 122,000 | 122,000 | Direct |
2014-12-13 | 78,980 | 78,980 | Direct |
2015-12-11 | 93,790 | 93,790 | Direct |
2016-12-10 | 3,960 | 3,960 | Direct |
51,996 | 51,996 | Direct |
Footnotes
- On September 15, 2009, the reporting person transferred 100,000 shares of Southwestern Energy Company stock into a Family Limited Partnership (the "2009 FLP"). The reporting person controls the general partner of the FLP and therefore, has indirect beneficial ownership of the transferred shares.
- On December 28, 2009, the reporting person gifted 150,000 shares of Southwestern Energy Company stock to the Harold and Patricia Korell Foundation.
- Each share of phantom stock 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.