SEC Form 4 · accession 0001209191-19-011825
CONOCOPHILLIPS · COP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine A. Brooks
Officer — VP & Controller
Period of report
Feb 16, 2019
Accepted (ET)
Feb 20, 2019 · 8:01 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 | Feb 16, 2019 | M | 4,519 | — | A | 4,519 | D | |
| Common Stock | Feb 16, 2019 | F | 1,157 | $69.90 | D | 3,362 | D | |
| Common StockF2 | holding | — | — | — | 2 | I | By ConocoPhillips Savings Plan | |
| Common StockF3 | holding | — | — | — | 130 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock UnitsF4,F5,F6 | — | Feb 16, 2019 | M | 4,519 | A | — | — | Common Stock | 4,519 | 0 | D |
Explanation of responses
- F1Each stock unit was the economic equivalent of one share of common stock and settled in shares.
- F2Includes units acquired through routine dividend transactions that are exempt under rule 16a-11.
- F3The reporting person disclaims beneficial ownership of her spouse's shares to the extent she does not have a pecuniary interest in such shares.
- F4The stock units represent ConocoPhillips common stock on a 1-for-1 basis.
- F5Stock unit grant settles 3 years from date of grant, 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 in control.
- F6The stock units do not have an expiration date.