SEC Form 4 · accession 0001127602-16-065749
CABOT MICROELECTRONICS CORP · CCMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bailing Xia
Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 1, 2016 · 6:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001102934
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 31, 2016 | M | 8,704 | $22.60 | A | 26,351 | D | |
| Common Stock | Oct 31, 2016 | S | 8,704 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 8,704 | $13.11 | A | 26,351 | D | |
| Common Stock | Oct 31, 2016 | S | 8,704 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 8,704 | $24.97 | A | 26,351 | D | |
| Common Stock | Oct 31, 2016 | S | 8,704 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 8,704 | $33.90 | A | 26,351 | D | |
| Common Stock | Oct 31, 2016 | S | 8,704 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 6,000 | $33.89 | A | 23,647 | D | |
| Common Stock | Oct 31, 2016 | S | 6,000 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 6,000 | $35.47 | A | 23,647 | D | |
| Common Stock | Oct 31, 2016 | S | 6,000 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 6,000 | $44.88 | A | 23,647 | D | |
| Common Stock | Oct 31, 2016 | S | 6,000 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | M | 5,184 | $51.57 | A | 22,831 | D | |
| Common Stock | Oct 31, 2016 | S | 5,184 | $54.7028 | D | 17,647 | D | |
| Common Stock | Oct 31, 2016 | S | 14,006 | $54.9753 | D | 3,641 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1 | $22.60 | Oct 31, 2016 | M | 8,704 | D | Mar 4, 2009 | Mar 4, 2018 | Common Stock | 8,704 | 0 | D |
| Stock Options (Right to Buy)F2 | $13.11 | Oct 31, 2016 | M | 8,704 | D | Mar 3, 2010 | Mar 3, 2019 | Common Stock | 8,704 | 0 | D |
| Stock Options (Right to Buy)F3 | $24.97 | Oct 31, 2016 | M | 8,704 | D | Mar 2, 2011 | Mar 2, 2020 | Common Stock | 8,704 | 0 | D |
| Stock Options (Right to Buy)F4 | $33.90 | Oct 31, 2016 | M | 8,704 | D | Mar 8, 2012 | Mar 8, 2021 | Common Stock | 8,704 | 0 | D |
| Stock Options (Right to Buy)F5 | $33.89 | Oct 31, 2016 | M | 6,000 | D | Mar 6, 2013 | Mar 6, 2022 | Common Stock | 6,000 | 0 | D |
| Stock Options (Right to Buy)F6 | $35.47 | Oct 31, 2016 | M | 6,000 | D | Mar 5, 2014 | Mar 5, 2023 | Common Stock | 6,000 | 0 | D |
| Stock Options (Right to Buy)F7 | $44.88 | Oct 31, 2016 | M | 6,000 | D | Mar 4, 2015 | Mar 4, 2024 | Common Stock | 6,000 | 0 | D |
| Stock Options (Right to Buy)F8 | $51.57 | Oct 31, 2016 | M | 5,184 | D | Mar 3, 2016 | Mar 3, 2025 | Common Stock | 5,184 | 816 | D |
Explanation of responses
- F1Directors' Annual (2008) Non-Qualified Stock Option Award Vesting Schedule: 25% 3/4/2009, 25% 3/4/2010, 25% 3/4/2011, 25% 3/4/2012.
- F2Directors' Annual (2009) Non-Qualified Stock Option Award Vesting Schedule: 25% 3/3/2010; 25% 3/3/2011; 25% 3/3/2012; 25% 3/3/2013.
- F3Directors' Annual (2010) Non-Qualified Stock Option Award Vesting Schedule: 25% 3/2/2011; 25% 3/2/2012; 25% 3/2/2013; 25% 3/2/2014.
- F4Directors' Annual (2011) Non-Qualified Stock Option Award: 100% vested on 3/8/2012.
- F5Directors' Annual (2012) Non-Qualified Stock Option Grant pursuant to 2012 Omnibus Incentive Plan ("OIP"). 100% vested on 3/6/2013.
- F6Directors' Annual (2013) Non-Qualified Stock Option Grant pursuant to 2012 Omnibus Incentive Plan ("OIP"); 100% vested on 3/5/2014.
- F7Directors' Annual (2014) Non-Qualified Stock Option Grant pursuant to 2012 Omnibus Incentive Plan ("OIP"); 100% vested on 3/4/2015.
- F8Directors' Annual (2015) Non-Qualified Stock Option Grant pursuant to 2012 Omnibus Incentive Plan ("OIP); 100% vested on 3/8/2016.