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FORM 4
[ ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
McLain, Susan
(Last) (First) (Middle)
411 108th Avenue NE, 15th Floor
(Street)
Bellevue, WA 98004-5515
(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol Puget Energy, Inc. PSD
3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for (Month/Year) September 2002
5. If Amendment,
Date of Original (Month/Year) |
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer
Other
Officer/Other
Description
Vice President Operations - Delivery of Puget Sound Energy, Inc.
7. Individual or Joint/Group
Filing (Check Applicable Line) X Individual Filing
Joint/Group Filing
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security (Instr. 3) |
2. Transaction Date
(Month/Day/Year) |
3. Transaction Code and Voluntary Code (Instr. 8) Code | V
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4. Securities Acquired (A) or Disposed (D) Of (Instr. 3, 4, and 5) Amount | A/D | Price
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5. Amount of
Securities Beneficially Owned at End ofMonth (Instr. 3 and 4) |
6. Owner-
ship Form: Direct(D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Common
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1,600 |
D
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Common
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1,617 |
I
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By 401(k)
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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). (over)
SEC 1474 (3-99) |
| McLain, Susan - September 2002 |
| Form 4 (continued) |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction
Date (Month/ Day/ Year) |
4. Transaction
Code and Voluntary (V) Code (Instr.8) Code | V
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5. Number of Derivative Securities Acquired (A) or Disposed (D) Of (Instr. 3,4 and 5) |
6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) (DE) | (ED)
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7. Title and Amount of
Underlying Securities (Instr. 3 and 4) |
8. Price
of Derivative Security (Instr.5) |
9. Number of Derivative Securities Beneficially Owned at End of Month (Instr.4) |
10. Owner- ship Form of Deriv- ative Security: Direct (D) or Indirect (I) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
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LTIP (1) |
$0.00 | 02/20/2002 |
A | V
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(A) 7,740 |
12/31/2005 | 12/31/2005
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Common - 7,740 |
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7,740 |
D
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PSE Deferred Compensation Plan (2) |
$0.00 (3) | 09/25/2002 |
A |
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(A) 140 |
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Common - 140 | $20.02 | 8,137 |
D
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LTIP |
$0.00 (1) |
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12/31/2002 | 12/31/2002
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Common - 4,740 |
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4,740 |
D
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LTIP |
$0.00 (1) |
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12/31/2003 | 12/31/2003
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Common - 6,862 |
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6,862 |
D
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LTIP |
$0.00 (1) |
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12/31/2004 | 12/31/2004
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Common - 5,947 |
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5,947 |
D
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** 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. |
/s/ Susan McLain ________________________________ 09-26-2002 ** Signature of Reporting Person Date Page 2
SEC 1474 (3-99) |
| McLain, Susan - September 2002 |
| Form 4 (continued) |
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FOOTNOTE Descriptions for Puget Energy, Inc. PSD Form 4 - September 2002 Susan McLain
411 108th Avenue NE, 15th Floor Bellevue, WA 98004-5515 Explanation of responses: (1) LTIP share grants under the Puget Energy Long-Term Incentive Plan for Officers and Key Employees. LTIP Shares are paid in Puget Energy stock when vested in an amount ranging from zero to 175% of LTIP Share Grants. (2) Phantom share units deferred in the Puget Sound Energy Deferred Compensation Plan. (3) One common share will be received for each stock unit. |
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