SEC Form 4 · accession 0001127602-17-011468
CABOT MICROELECTRONICS CORP · CCMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ananth Naman
Officer — VP & Chief Technology Officer
Period of report
Mar 10, 2017
Accepted (ET)
Mar 13, 2017 · 6:11 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 | Mar 10, 2017 | M | 906 | $22.13 | A | 24,683 | D | |
| Common Stock | Mar 10, 2017 | S | 906 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | M | 1,687 | $21.45 | A | 25,464 | D | |
| Common Stock | Mar 10, 2017 | S | 1,687 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | M | 5,984 | $27.94 | A | 29,761 | D | |
| Common Stock | Mar 10, 2017 | S | 5,984 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | M | 9,750 | $32.64 | A | 33,527 | D | |
| Common Stock | Mar 10, 2017 | S | 9,750 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | M | 13,350 | $44.10 | A | 37,127 | D | |
| Common Stock | Mar 10, 2017 | S | 13,350 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | M | 8,000 | $46.45 | A | 31,777 | D | |
| Common Stock | Mar 10, 2017 | S | 8,000 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | M | 3,925 | $42.37 | A | 27,702 | D | |
| Common Stock | Mar 10, 2017 | S | 3,925 | $69.1574 | D | 23,777 | D | |
| Common Stock | Mar 10, 2017 | S | 4,338 | $69.1953 | D | 19,439 | D | |
| Common Stock | Mar 13, 2017 | S | 1,191 | $69.00 | D | 18,248 | 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)F2 | $22.13 | Mar 10, 2017 | M | 906 | D | Jan 21, 2009 | Jan 21, 2018 | Common Stock | 906 | 0 | D |
| Stock Options (Right to Buy)F3 | $21.45 | Mar 10, 2017 | M | 1,687 | D | Dec 1, 2010 | Dec 1, 2019 | Common Stock | 1,687 | 0 | D |
| Stock Options (Right to Buy)F4 | $27.94 | Mar 10, 2017 | M | 5,984 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 5,984 | 0 | D |
| Stock Options (Right to Buy)F5 | $32.64 | Mar 10, 2017 | M | 9,750 | D | Dec 3, 2013 | Dec 3, 2022 | Common Stock | 9,750 | 0 | D |
| Stock Options (Right to Buy)F6 | $44.10 | Mar 10, 2017 | M | 13,350 | D | Dec 3, 2014 | Dec 3, 2023 | Common Stock | 13,350 | 4,450 | D |
| Stock Options (Right to Buy)F7 | $46.45 | Mar 10, 2017 | M | 8,000 | D | Dec 3, 2015 | Dec 3, 2024 | Common Stock | 8,000 | 8,000 | D |
| Stock Options (Right to Buy)F8 | $42.37 | Mar 10, 2017 | M | 3,925 | D | Dec 3, 2016 | Dec 3, 2025 | Common Stock | 3,925 | 11,775 | D |
Explanation of responses
- F1Sale to cover exercise price of, and taxes related to, cashless exercise of stock options.
- F2With original vesting schedule of 25% quarterly per year beginning on the first anniversary of grant date 1/21/2008.
- F3With original vesting schedule of 25% quarterly per year beginning on the first anniversary of grant date 12/1/2009.
- F42011 (FY12) Non-Qualified Stock Option Grant Vesting Schedule: 25% 12/01/2012, 25% 12/01/2013, 25% 12/01/2014, 25% 12/01/2015.
- F52012 (FY13) Non-Qualified Stock Option Grant Vesting Schedule: 25% 12/03/2013, 25% 12/03/2014, 25% 12/03/2015, 25% 12/03/2016.
- F62013 (FY14) Non-Qualified Stock Option Grant Vesting Schedule: 25% 12/03/2014, 25% 12/03/2015, 25% 12/03/2016, 25% 12/03/2017.
- F72014 (FY15) Non-Qualified Stock Option Grant Vesting Schedule: 25% 12/03/2015, 25% 12/03/2016, 25% 12/03/2017, 25% 12/03/2018.
- F82015 (FY16) Non-Qualified Stock Option Grant Vesting Schedule: 25% 12/03/2016, 25% 12/03/2017, 25% 12/03/2018, 25% 12/03/2019.