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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Shares Feb 2014 | (2) | 01/16/2017 | M | 14,233 | 02/18/2017 | (3) | Common Stock | 14,233 | $ 0 | 0 | D | ||||
Phantom Shares Esp | (4) | 01/16/2017 | A | 14,233 | (5) | (6) | Common Stock | 14,233 | $ 0 | 56,945.4705 | I | By Trustee Executive Savings Plan |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dill Julie 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
Chief Communications Officer |
/s/ Annachiara Jones, Attorney-In-Fact | 01/18/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Upon the vesting of the performance shares, the reporting person deferred receipt of 14,233 units of common stock into her executive savings plan account. As a result, the reporting person is reporting the disposition of the 14,233 shares of common stock into her executive saving plan account. |
(2) | The number of performance shares that vest is based on the achievement of a specified total shareholder return for Spectra Energy Corp Common Stock. |
(3) | Expiration date not applicable. |
(4) | Converts to Common Stock on a 1-to-1 basis |
(5) | Payment upon termination of employment or occurence of other events as specified in the Spectra Energy Corp Executive Savings Plan, subject to holding periods required by law. |
(6) | Expiration date not applicable |