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Ottoson Javan D

Disclosed activity across 1 company

Tapewire entity
148015
SEC CIK
0001359693

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
SM Energy CoSM · Entity 3577Director · President & CEOJuly 01, 2020July 06, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

SM Energy Co

Report date July 01, 2020 · Filed July 06, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $.01 Par ValueSEC Table I · non-derivativeDirect376,560 Ending reported balance After 2020-07-01 transaction · row 9
9 source rows · reconciled sequence

Row 1 · 2020-06-30 · Other · Acquired 2,224 · Balance 221,754

F1: The Reporting Person purchased 2,224 shares of the Issuer's common stock on June 30, 2020, through the Issuer's Employee Stock Purchase Plan.

Row 2 · 2020-07-01 · Exercise / conversion · Acquired 25,207 · Balance 246,961

F2: Each restricted stock unit represented a contingent right to receive one share of stock. The restricted stock unit grant vested in three equal annual installments beginning on July 1, 2018. The vested shares were issued to the Reporting Person on the vesting dates, at which time all restrictions on the vested shares lapsed.

Row 3 · 2020-07-01 · Tax withholding · Disposed 11,087 · Balance 235,874

Row 4 · 2020-07-01 · Exercise / conversion · Acquired 15,570 · Balance 251,444

F3: 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.

Row 5 · 2020-07-01 · Tax withholding · Disposed 6,848 · Balance 244,596

Row 6 · 2020-07-01 · Exercise / conversion · Acquired 22,768 · Balance 267,364

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, 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.

Row 7 · 2020-07-01 · Tax withholding · Disposed 10,014 · Balance 257,350

Row 8 · 2020-07-01 · Exercise / conversion · Acquired 212,800 · Balance 470,150

F5: On July 1, 2020, the Compensation Committee of the Board of Directors of the Issuer determined that 212,800 shares of the Issuer's common stock had been earned by the Reporting Person under the terms of a grant of performance share units ("PSUs"), based on the achievement of specific performance criteria that were not tied solely to the market price of the Issuer's common stock. The PSUs were granted to the Reporting Person on July 1, 2017, and represent the right to receive, upon the settlement of the PSUs, the determined number of earned shares of the Issuer's common stock based on the achievement of the performance criteria over a three-year performance period (with the determined number of earned shares being within a range of zero to two times the number of PSUs granted on the award date), to the extent that the PSUs have vested under separate employment service vesting provisions. The PSUs were fully vested on July 1, 2020.

Row 9 · 2020-07-01 · Tax withholding · Disposed 93,590 · Balance 376,560

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-07-01 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2020-07-01 · Exercise / conversion · Disposed 25,207 · Balance 0

F2: Each restricted stock unit represented a contingent right to receive one share of stock. The restricted stock unit grant vested in three equal annual installments beginning on July 1, 2018. The vested shares were issued to the Reporting Person on the vesting dates, at which time all restrictions on the vested shares lapsed.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect15,571 Reported balance After 2020-07-01 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2020-07-01 · Exercise / conversion · Disposed 15,570 · Balance 15,571

F3: 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.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect45,538 Reported balance After 2020-07-01 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2020-07-01 · Exercise / conversion · Disposed 22,768 · Balance 45,538

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, 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.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person purchased 2,224 shares of the Issuer's common stock on June 30, 2020, through the Issuer's Employee Stock Purchase Plan.

F2: Each restricted stock unit represented a contingent right to receive one share of stock. The restricted stock unit grant vested in three equal annual installments beginning on July 1, 2018. The vested shares were issued to the Reporting Person on the vesting dates, at which time all restrictions on the vested shares lapsed.

F3: 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.

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, 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.

F5: On July 1, 2020, the Compensation Committee of the Board of Directors of the Issuer determined that 212,800 shares of the Issuer's common stock had been earned by the Reporting Person under the terms of a grant of performance share units ("PSUs"), based on the achievement of specific performance criteria that were not tied solely to the market price of the Issuer's common stock. The PSUs were granted to the Reporting Person on July 1, 2017, and represent the right to receive, upon the settlement of the PSUs, the determined number of earned shares of the Issuer's common stock based on the achievement of the performance criteria over a three-year performance period (with the determined number of earned shares being within a range of zero to two times the number of PSUs granted on the award date), to the extent that the PSUs have vested under separate employment service vesting provisions. The PSUs were fully vested on July 1, 2020.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 08, 2017 Filed Jun 9, 2017 20:25 UTC SM Energy Co SM · Entity 3577 PurchaseCommon Stock; $.01 Par Value 800 $16.75 $13,400.08
Disclosure

SEC source: 0000893538-17-000061 · wf-form4_149703992945077.xml · nonDerivative · entry 2

Ottoson Javan D · CIK 0001359693 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,102

Read SEC document
June 08, 2017 Filed Jun 9, 2017 20:25 UTC SM Energy Co SM · Entity 3577 PurchaseCommon Stock; $.01 Par Value 200 $16.77 $3,353.00
Disclosure

SEC source: 0000893538-17-000061 · wf-form4_149703992945077.xml · nonDerivative · entry 1

Ottoson Javan D · CIK 0001359693 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,302

Read SEC document
February 27, 2017 Filed Feb 28, 2017 23:31 UTC SM Energy Co SM · Entity 3577 PurchaseCommon Stock; $.01 Par Value 5,000 $25.22 $126,100.00
Disclosure

SEC source: 0000893538-17-000019 · wf-form4_148832467803005.xml · nonDerivative · entry 2

Ottoson Javan D · CIK 0001359693 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,102

Read SEC document
December 31, 2016 Filed Feb 28, 2017 23:31 UTC SM Energy Co SM · Entity 3577 OtherCommon Stock; $.01 Par Value 117 $23.87 $2,792.56
Disclosure

SEC source: 0000893538-17-000019 · wf-form4_148832467803005.xml · nonDerivative · entry 1

Ottoson Javan D · CIK 0001359693 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,102

F1 · kind: The reporting person purchased 117 shares of the issuer's common stock on December 31, 2016, through the issuer's Employee Stock Purchase Plan.

Read SEC document
November 08, 2016 Filed Dec 7, 2016 23:44 UTC SM Energy Co SM · Entity 3577 GiftCommon Stock; $.01 Par Value 4,000 $0.00 $0.00
Disclosure

SEC source: 0000893538-16-000227 · wf-form4_148115426816792.xml · nonDerivative · entry 1

Ottoson Javan D · CIK 0001359693 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,985

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.