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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 51.21 | 02/09/2010 | A | 27,174 | 02/09/2012 | 02/08/2018 | Common Stock | 27,174 | $ 0 | 27,174 | D | ||||
Performance Shares | (4) | 02/09/2010 | A | 5,858 | (4) | (4) | Common Stock | 5,858 | $ 0 | 5,858 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STEPAN F QUINN JR 22 W. FRONTAGE ROAD NORTHFIELD, IL 60093 |
X | President & CEO |
F. Quinn Stepan, Jr. | 02/11/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This award of restricted stock was incorrectly reported in 2010 on Table II of the original Form 4. This amendment is being filed solely to correctly report the award on Table I. These restricted shares were also omitted from the totals in Column 5 of Table l on Forms filed by the Reporting Person subsequent to February 11, 2010. The number of shares reported as being granted for this award does not reflect the additional 5,858 shares that resulted from the November 30, 2012 two-for-one stock split, which additional shares were also omitted from the totals in Column 5 of Table l on Forms filed by the Reporting Person subsequent to November 30, 2012 (reflecting the stock split, the number of shares subject to this award and reported as acquired on February 9, 2010 would be 11,716). The number of shares reflected in Column 5 of Table I of this amendment is the total number of shares held as of the original filing date (and does not reflect the November 30, 2012 stock split). |
(2) | Joint Tenancy with Spouse. |
(3) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose. |
(4) | Each performance share represents a contingent right to receive 1 share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2012. |