SEC Form 4/A · accession 0001179110-16-032478
KMG CHEMICALS INC · KMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Andrew C Lau
Officer — VP of KMG Electronic Chemicals
Period of report
Oct 21, 2016
Accepted (ET)
Dec 6, 2016 · 4:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001028215
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 21, 2016 | A | 10,831 | $29.11 | A | 12,889 | D | |
| Common StockF3 | Oct 21, 2016 | F | 2,962 | $29.11 | D | 9,927 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Based Stock Award Series 1F1 | $0.00 | Oct 21, 2016 | M | 1 | A | Jul 31, 2016 | Jul 31, 2016 | Common Stock | 10,831 | 2 | D |
| Performance Based Stock Award Series 1F2 | $0.00 | Oct 21, 2016 | A | 1 | A | Jul 31, 2019 | Jul 31, 2019 | Common Stock | 9,914 | 3 | D |
Explanation of responses
- F1Amount of shares vested at 110%. Vesting of common shares is performance based over a measurement of time ending 7/31/2016. Vested shares are awarded approximately 2.5 months after 7/31/2016.
- F2Vesting of common shares is performance based over a measurement period ended 7/31/2019. Vested shares are awarded within approximately 2.5 months after 7/310/2019.
- F3Corrects previous filing to reflect withholding of shares for tax liability.