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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 | ||||||||
Stock Options (Right to Buy) | $ 40.73 | 12/10/2009(3) | A | 3,960 | 12/10/2010(4) | 12/10/2016 | Common Stock | 3,960 | $ 0 | 3,960 | D | ||||
Stock Options (Right to Buy) | $ 1.22 | 12/31/2001 | 12/31/2010 | Common Stock | 64,000 | 64,000 | D | ||||||||
Stock Options (Right to Buy) | $ 1.365 | 12/31/2002 | 12/31/2011 | Common Stock | 64,000 | 64,000 | D | ||||||||
Stock Options (Right to Buy) | $ 1.47 | 12/31/2003 | 12/31/2012 | Common Stock | 64,000 | 64,000 | D | ||||||||
Stock Options (Right to Buy) | $ 3.1 | 12/31/2004 | 12/31/2013 | Common Stock | 64,000 | 64,000 | D | ||||||||
Stock Options (Right to Buy) | $ 6.225 | 12/09/2005 | 12/09/2011 | Common Stock | 13,760 | 13,760 | D | ||||||||
Stock Options (Right to Buy) | $ 17.97 | 12/13/2006 | 12/13/2012 | Common Stock | 5,500 | 5,500 | D | ||||||||
Stock Options (Right to Buy) | $ 20.335 | 12/11/2007 | 12/11/2013 | Common Stock | 6,000 | 6,000 | D | ||||||||
Stock Options (Right to Buy) | $ 27.18 | 12/13/2008 | 12/13/2014 | Common Stock | 6,000 | 6,000 | D | ||||||||
Stock Options (Right to Buy) | $ 30.68 | 12/11/2009 | 12/11/2015 | Common Stock | 5,270 | 5,270 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHARLAU CHARLES E SUITE 125 2350 N. SAM HOUSTON PARKWAY EAST HOUSTON, TX 77032 |
X |
/s/ Melissa D. McCarty, Attorney-in-fact for Mr. Scharlau | 12/14/2009 | |
**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) | On August 31, 2009, 167,614 shares were transferred into the Charles Scharlau 2009 Retained Annuity Trust ("Charles Scharlau GRAT"). The reporting person will remain the Trustee for the GRAT account, and will continue to have indirect beneficial ownership of the stock. |
(2) | On August 31, 2009, the reporting person transferred 523,794 shares of Southwestern Energy Company stock into a Family LLC. The reporting person controls the LLC and therefore, has indirect beneficial ownership of the transferred shares. |
(3) | Restricted stock and nonqualified stock options granted in consideration of services as a director. |
(4) | Nonqualified stock options become exercisable in three equal installments beginning on the first anniversary of the grant date specified in Column 3 or immediately upon death, disability, retirement at age 65, or a change in control. |