SM Energy Form 4 / Mary Ellen Lutey ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Lutey Mary Ellen

(Last)

(First)

(Middle)

1775 SHERMAN STREET

SUITE 1200

(Street)

DENVER

80203

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
SM Energy Co [ SM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Sr. VP & Regional Manager

3. Date of Earliest Transaction (Month/Day/Year)
07/01/2019

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock; $.01 Par Value	12/31/2018		J⁽¹⁾	V	591	A	$13.158	28,282	D
Common Stock; $.01 Par Value	12/31/2018		J⁽²⁾	V	581	A	$13.158	18,535	I⁽³⁾	By husband
Common Stock; $.01 Par Value	06/28/2019		J⁽⁴⁾	V	808	A	$10.642	29,090	D
Common Stock; $.01 Par Value	06/28/2019		J⁽⁵⁾	V	838	A	$10.642	19,373	I⁽³⁾	By husband
Common Stock; $.01 Par Value	07/01/2019		M		1,009	A	⁽⁶⁾	30,099	D
Common Stock; $.01 Par Value	07/01/2019		F		246	D	$12.52	29,853	D
Common Stock; $.01 Par Value	07/01/2019		M		535	A	⁽⁷⁾	19,908	I⁽³⁾	By husband
Common Stock; $.01 Par Value	07/01/2019		F		131	D	$12.52	19,777	I⁽³⁾	By husband
Common Stock; $.01 Par Value	07/01/2019		M		2,647	A	⁽⁸⁾	32,500	D
Common Stock; $.01 Par Value	07/01/2019		F		645	D	$12.52	31,855	D
Common Stock; $.01 Par Value	07/01/2019		M		1,109	A	⁽⁹⁾	20,886	I⁽³⁾	By husband
Common Stock; $.01 Par Value	07/01/2019		F		271	D	$12.52	20,615	I⁽³⁾	By husband
Common Stock; $.01 Par Value	07/01/2019		M		1,703	A	⁽¹⁰⁾	33,558	D
Common Stock; $.01 Par Value	07/01/2019		F		415	D	$12.52	33,143	D
Common Stock; $.01 Par Value	07/01/2019		M		1,167	A	⁽¹¹⁾	21,782	I⁽³⁾	By husband
Common Stock; $.01 Par Value	07/01/2019		F		285	D	$12.52	21,497	I⁽³⁾	By husband

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽⁶⁾	07/01/2019		M			1,009	⁽⁶⁾	⁽⁶⁾	Common Stock	1,009	⁽⁶⁾	0	D
Restricted Stock Units	⁽⁷⁾	07/01/2019		M			535	⁽⁷⁾	⁽⁷⁾	Common Stock	535	⁽⁷⁾	0	I⁽³⁾	By husband
Restricted Stock Units	⁽⁸⁾	07/01/2019		M			2,647	⁽⁸⁾	⁽⁸⁾	Common Stock	2,647	⁽⁸⁾	2,647	D
Restricted Stock Units	⁽⁹⁾	07/01/2019		M			1,109	⁽⁹⁾	⁽⁹⁾	Common Stock	1,109	⁽⁹⁾	1,109	I⁽³⁾	By husband
Restricted Stock Units	⁽¹⁰⁾	07/01/2019		M			1,703	⁽¹⁰⁾	⁽¹⁰⁾	Common Stock	1,703	⁽¹⁰⁾	3,406	D
Restricted Stock Units	⁽¹¹⁾	07/01/2019		M			1,167	⁽¹¹⁾	⁽¹¹⁾	Common Stock	1,167	⁽¹¹⁾	2,336	I⁽³⁾	By husband

Explanation of Responses:

1. The reporting person purchased 591 shares of the issuer's common stock on December 31, 2018, through the issuer's Employee Stock Purchase Plan.

2. The reporting person's husband purchased 581 shares of the issuer's common stock on December 31, 2018, through the issuer's Employee Stock Purchase Plan.

3. The reporting person's husband is also employed by the issuer, purchases the issuers's common stock through the issuer's Employee Stock Purchase Plan, and receives grants of restricted stock units and performance share awards.

4. The reporting person purchased 808 shares of the issuer's common stock on June 28, 2019, through the issuer's Employee Stock Purchase Plan.

5. The reporting person's husband purchased 838 shares of the issuer's common stock on June 28, 2019, through the issuer's Employee Stock Purchase Plan.

6. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vested in three equal annual installments beginning on July 1, 2017. The vested shares were issued to the reporting person on the vesting dates, at which time all restrictions on the vested shares lapsed.

7. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock unit grant vested in three equal annual installments beginning on July 1, 2017. The vested shares were issued to the reporting person's husband on the vesting dates, at which time all restrictions on the vested shares lapsed.

8. 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, 2018. 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.

9. 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, 2018. The vested shares will be issued to the reporting person's husband on the vesting dates, at which time all restrictions on the vested shares will lapse.

10. 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 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.

11. 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 husband on the vesting dates, at which time all restrictions on the vested shares will lapse.

Remarks:

	Karin M. Writer (Attorney-In-Fact)	07/02/2019
	** 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 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).
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.

SM Energy (SM) Form 4SM Energy / Mary Ellen Lutey ownership change