FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/08/2010 |
3. Issuer Name and Ticker or Trading Symbol
Spectra Energy Corp. [ SE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 17,785 | D(4) | |
Common Stock | 192 | I | By Wife |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Shares Esp | (3) | (2) | Common Stock | 1,647.7932 | (1) | I | By Trustee Executive Savings Plan |
Employee Stock Option (Right to Buy) | 12/20/2000 | 12/20/2010 | Common Stock | 2,100 | $36.86 | D | |
Employee Stock Option (Right to Buy) | 12/19/2001 | 12/19/2011 | Common Stock | 2,800 | $32.44 | D | |
Employee Stock Option (Right to Buy) | 01/17/2002 | 01/17/2012 | Common Stock | 750 | $33 | D | |
Employee Stock Option (Right to Buy) | 01/28/2003 | 01/28/2013 | Common Stock | 250 | $14.37 | D | |
Employee Stock Option (Right to Buy) | 02/25/2003 | 02/25/2013 | Common Stock | 2,950 | $11.86 | D | |
Employee Stock Option (Right to Buy) | 02/27/2007 | 02/25/2017 | Common Stock | 16,200 | $25.64 | D | |
Ltip Phantom Stock Grant Apr 2006 | 04/04/2007(5) | (2) | Common Stock | 690 | (1) | D | |
Ltip Phantom Stock Grant Feb 2008 | 02/26/2009(6) | (2) | Common Stock | 2,500 | (1) | D | |
Performance Shares Grant Feb 2008 | 02/26/2011(7) | (2) | Common Stock | 2,600 | (1) | D | |
Ltip Phantom Stock Grant Feb 2009 | 02/24/2012(7) | (2) | Common Stock | 8,300 | (1) | D | |
Performance Shares Feb 2009 | 02/24/2012(7) | (2) | Common Stock | 8,800 | (1) | D | |
Ltip Phantom Stock Grant | 02/23/2013(7) | (2) | Common Stock | 6,100 | (1) | D | |
Performance Shares | 02/23/2013(7) | (2) | Common Stock | 6,500 | (1) | D |
Explanation of Responses: |
1. Converts to Common Stock on a 1-for-1 basis |
2. Expiration date not applicable. |
3. Payment upon termination of employment or occurence of other events as specified in the Spectra Energy Corp Executive Savings Plan, subject to holding periods required by law. |
4. Includes 10,304 held by Trustee, Retirement Savings Plan. |
5. The Phantom Shares vest in 5 annual installments beginning April 2007. |
6. The phantom shares vest in 3 annual installments beginning February 2009. |
7. Grant Cliff vests 3 years from date of Grant. |
/s/Beverly J . Fite as Attorney-in-Fact for John R. Arensdorf | 06/18/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |