UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option (Right to Buy) | 05/01/2011 | 05/01/2018 | Noble Energy Stock Option | 9,756 (2) | $ 39.465 | D | Â |
Non-Qualified Stock Option (Right to Buy) | 01/02/2012 | 01/02/2019 | Noble Energy Stock Option | 18,787 (2) | $ 13.57 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Craddock James E 1001 NOBLE ENERGY WAY HOUSTON, TX 77070 |
 X |  |  |  |
/s/ Aaron G. Carlson, Attorney-in-Fact | 07/21/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Received in exchange for shares of Rosetta Resources Inc. ("Rosetta") common stock in connection with merger of Bluebonnet Merger Sub Inc., an indirect wholly owned subsidiary of Noble Energy, Inc. ("Noble"), with and into Rosetta (the "Merger"). The shares exchanged are as follows: 68,232 common shares for 36,981 Noble shares, 118,341 restricted shares for 64,143 Noble shares on a grant by grant exchange and 139,973 performance awards converted to restricted shares for 75,863 Noble shares on a grant by grant exchange. Immediately following the Merger, Rosetta merged with and into NBL Texas, LLC, an indirect wholly owned subsidiary of Noble, ("NBL Texas"), with NBL Texas continuing as the surivivng company. Pursuant to the Merger, each outstanding share of common stock of Rosetta (other than shares held by Rosetta, Noble and their respective subsidiaries as of immediately prior to the effective time of the Merger) was converted into the right to receive 0.542 shares of Noble common stock, par value $0.01 per share. |
(2) | The stock option exchanges received in the Merger are as follows: 18,000 @ $21.39 Rosetta options for 9,756 @ $39.465 Noble options and 34,664 @ $7.355 Rosetta options for 18,787 @ $13.57 Noble options. The options fully vested on the third anniversary date of grant. |