Mary Ellen Lutey - 01 Jul 2021 Form 4 Insider Report for SM Energy Co (SM)

Role
SVP - Expl., Development & EHS
Signature
Andrew T. Fiske (Attorney-in-Fact)
Issuer symbol
SM
Transactions as of
01 Jul 2021
Net transactions value
-$50,116
Form type
4
Filing time
06 Jul 2021, 18:11:43 UTC
Next filing
03 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SM Common Stock, $.01 Par Value Other $6,646 +1,278 +2.1% $5.20* 60,918 30 Jun 2021 Direct F1
transaction SM Common Stock, $.01 Par Value Other $6,365 +1,224 +3.5% $5.20* 36,061 30 Jun 2021 By Spouse F2, F3
transaction SM Common Stock, $.01 Par Value Options Exercise +1,703 +2.8% 62,621 01 Jul 2021 Direct F4
transaction SM Common Stock, $.01 Par Value Tax liability $12,143 -493 -0.79% $24.63 62,128 01 Jul 2021 Direct
transaction SM Common Stock, $.01 Par Value Options Exercise +1,168 +3.2% 37,229 01 Jul 2021 By Spouse F3, F5
transaction SM Common Stock, $.01 Par Value Tax liability $8,325 -338 -0.91% $24.63 36,891 01 Jul 2021 By Spouse F3
transaction SM Common Stock, $.01 Par Value Options Exercise +4,189 +6.7% 66,317 01 Jul 2021 Direct F6
transaction SM Common Stock, $.01 Par Value Tax liability $29,827 -1,211 -1.8% $24.63 65,106 01 Jul 2021 Direct
transaction SM Common Stock, $.01 Par Value Options Exercise +1,801 +4.9% 38,692 01 Jul 2021 By Spouse F3, F7
transaction SM Common Stock, $.01 Par Value Tax liability $12,832 -521 -1.3% $24.63 38,171 01 Jul 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 -1,703 -100% 0 01 Jul 2021 Common Stock, $.01 Par Value 1,703 Direct F4
transaction SM Restricted Stock Units Options Exercise -1,168 -100% 0 01 Jul 2021 Common Stock, $.01 Par Value 1,168 By Spouse F3, F5
transaction SM Restricted Stock Units Options Exercise -4,189 -50% 4,190 01 Jul 2021 Common Stock, $.01 Par Value 4,189 Direct F6
transaction SM Restricted Stock Units Options Exercise -1,801 -50% 1,801 01 Jul 2021 Common Stock, $.01 Par Value 1,801 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.