Initial Statement of Beneficial Ownership (3)
June 30 2020 - 7:02PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Sagara Kevin C. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/27/2020
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3. Issuer Name and Ticker or Trading Symbol
SEMPRA ENERGY [SRE]
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(Last)
(First)
(Middle)
488 8TH AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP and Group President / |
(Street)
SAN DIEGO, CA 92101
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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 | 18839.85 | D | |
Common Stock | 1691.79 | I | 401(k) savings plan (6/26/2020) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 (1) | (2) | (3) | Common Stock | 3426.38 | (4) | D | |
Explanation of Responses: |
(1) | Phantom shares of Sempra Energy Common Stock held in Sempra Energy multi-fund deferred compensation and excess savings plans. Plan payouts are in cash and limited intra-plan transfers are permitted based on the then market value of the shares of Sempra Energy Common Stock to which the phantom shares relate. |
(2) | Date Exercisable is Immediate. |
(3) | Expiration date is Not Applicable. |
(4) | Conversion of Derivative Security is 1 for 1. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sagara Kevin C. 488 8TH AVENUE SAN DIEGO, CA 92101 |
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| EVP and Group President |
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Signatures
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KEVIN C. SAGARA BY: James M. Spira, Associate General Counsel of Sempra Energy and Attorney-In-Fact | | 6/29/2020 |
**Signature of Reporting Person | Date |
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