SEC Form 4 · accession 0001209191-18-061053
CONOCOPHILLIPS · COP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryan Michael Lance
Officer — Chairman and CEO · Director
Period of report
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 6:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001163165
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 30, 2018 | M | 2,734 | — | A | 47,763 | D | |
| Common Stock | Nov 30, 2018 | F | 2,734 | $66.185 | D | 45,029 | D | |
| Common Stock | holding | — | — | — | 49,822 | I | By Lance Family Trust | |
| Common StockF2 | holding | — | — | — | 12,727 | I | By ConocoPhillips Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock UnitsF4,F7,F3,F5,F6 | — | Nov 30, 2018 | M | 2,734 | D | — | — | Common Stock | 2,734 | 70,541 | D |
Explanation of responses
- F1Each stock unit was the economic equivalent of one share of common stock.
- F2Includes units acquired through routine dividend transactions that are exempt under rule 16a-11 and through a qualified plan that are exempt under rule 16a-3.
- F3The stock units represent ConocoPhillips common stock on a 1-for-1 basis.
- F4Reflects partial lapsing of restrictions on the 2018 Executive RSU grant to cover FICA obligation and associated income taxes for retirement eligible employees.
- F5The stock unit grant settles 3 years from February 13, 2018, subject to earlier or partial settlement upon, termination of employment after attainment of age 55 with five years of service, layoff, death or disability or a change of control.
- F6The stock units do not have an expiration date.
- F7Includes dividend equivalent units acquired through routine transactions that are exempt under rule 16a-11 and through a qualified plan that are exempt under rule 16a-3.