Mary Ellen Lutey - Jul 1, 2021 Form 4 Insider Report for SM Energy Co (SM)

Role
SVP - Expl., Development & EHS
Signature
Andrew T. Fiske (Attorney-in-Fact)
Stock symbol
SM
Transactions as of
Jul 1, 2021
Transactions value $
-$50,116
Form type
4
Date filed
7/6/2021, 06:11 PM
Next filing
Aug 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SM Common Stock, $.01 Par Value Other $6.65K +1.28K +2.14% $5.20* 60.9K Jun 30, 2021 Direct F1
transaction SM Common Stock, $.01 Par Value Other $6.36K +1.22K +3.51% $5.20* 36.1K Jun 30, 2021 By Spouse F2, F3
transaction SM Common Stock, $.01 Par Value Options Exercise +1.7K +2.8% 62.6K Jul 1, 2021 Direct F4
transaction SM Common Stock, $.01 Par Value Tax liability -$12.1K -493 -0.79% $24.63 62.1K Jul 1, 2021 Direct
transaction SM Common Stock, $.01 Par Value Options Exercise +1.17K +3.24% 37.2K Jul 1, 2021 By Spouse F3, F5
transaction SM Common Stock, $.01 Par Value Tax liability -$8.32K -338 -0.91% $24.63 36.9K Jul 1, 2021 By Spouse F3
transaction SM Common Stock, $.01 Par Value Options Exercise +4.19K +6.74% 66.3K Jul 1, 2021 Direct F6
transaction SM Common Stock, $.01 Par Value Tax liability -$29.8K -1.21K -1.83% $24.63 65.1K Jul 1, 2021 Direct
transaction SM Common Stock, $.01 Par Value Options Exercise +1.8K +4.88% 38.7K Jul 1, 2021 By Spouse F3, F7
transaction SM Common Stock, $.01 Par Value Tax liability -$12.8K -521 -1.35% $24.63 38.2K Jul 1, 2021 By Spouse F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SM Restricted Stock Units Options Exercise -1.7K -100% 0 Jul 1, 2021 Common Stock, $.01 Par Value 1.7K Direct F4
transaction SM Restricted Stock Units Options Exercise -1.17K -100% 0 Jul 1, 2021 Common Stock, $.01 Par Value 1.17K By Spouse F3, F5
transaction SM Restricted Stock Units Options Exercise -4.19K -49.99% 4.19K Jul 1, 2021 Common Stock, $.01 Par Value 4.19K Direct F6
transaction SM Restricted Stock Units Options Exercise -1.8K -50% 1.8K Jul 1, 2021 Common Stock, $.01 Par Value 1.8K By Spouse F3, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person purchased 1,278 shares of the Issuer's common stock on June 30, 2021, through the Issuer's Employee Stock Purchase Plan.
F2 The Reporting Person's spouse purchased 1,224 shares of the Issuer's common stock on June 30, 2021, through the Issuer's Employee Stock Purchase Plan.
F3 The Reporting Person's spouse is also employed by the Issuer, purchases the Issuer's common stock through the Issuer's Employee Stock Purchase Plan, and is eligible to receive awards under the Issuer's equity incentive compensation plan.
F4 Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2019. The vested shares will be issued to the Reporting Person on the vesting dates, at which time all restrictions on the vested shares will lapse.
F5 Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2019. The vested shares will be issued to the Reporting Person's spouse on the vesting dates, at which time all restrictions on the vested shares will lapse.
F6 Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2020. The vested shares will be issued to the Reporting Person on the vesting dates, at which time all restrictions on the vested shares will lapse.
F7 Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vests in three equal annual installments beginning on July 1, 2020. The vested shares will be issued to the Reporting Person's spouse on the vesting dates, at which time all restrictions on the vested shares will lapse.