SEC Form 4 · accession 0001214659-17-007215
Huntsman CORP · HUN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Kimo Esplin
Officer — Exec VP, Strategy & Investment
Period of report
Dec 5, 2017
Accepted (ET)
Dec 7, 2017 · 7:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001307954
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 5, 2017 | M | 32,189 | $13.50 | A | 528,889 | D | |
| Common StockF1 | Dec 5, 2017 | S | 32,189 | $31.28 | D | 496,700 | D | |
| Common Stock | Dec 5, 2017 | M | 75,758 | $17.85 | A | 572,458 | D | |
| Common StockF2 | Dec 5, 2017 | S | 75,758 | $31.3059 | D | 496,700 | D | |
| Common Stock | Dec 5, 2017 | M | 59,002 | $13.41 | A | 555,702 | D | |
| Common StockF3 | Dec 5, 2017 | S | 59,002 | $31.348 | D | 496,700 | D | |
| Common Stock | Dec 6, 2017 | M | 19,614 | $13.41 | A | 516,314 | D | |
| Common StockF4 | Dec 6, 2017 | S | 19,614 | $30.2502 | D | 496,700 | D | |
| Common Stock | Dec 6, 2017 | M | 54,230 | $17.59 | A | 550,930 | D | |
| Common StockF5 | Dec 6, 2017 | S | 54,230 | $30.2502 | D | 496,700 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F6 | $13.50 | Dec 5, 2017 | M | 32,189 | D | — | Feb 23, 2020 | Common Stock | 32,189 | 0 | D |
| Option (Right to Buy)F7 | $17.85 | Dec 5, 2017 | M | 75,758 | D | — | Feb 6, 2023 | Common Stock | 75,758 | 0 | D |
| Option (Right to Buy)F8 | $13.41 | Dec 5, 2017 | M | 59,002 | D | — | Feb 1, 2022 | Common Stock | 59,002 | 19,614 | D |
| Option (Right to Buy)F8 | $13.41 | Dec 6, 2017 | M | 19,614 | D | — | Feb 1, 2022 | Common Stock | 19,614 | 0 | D |
| Option (Right to Buy)F9 | $17.59 | Dec 6, 2017 | M | 54,230 | D | — | Feb 2, 2021 | Common Stock | 54,230 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 of Line 2 with respect to the 32,189 shares sold on December 5, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.25 to $31.345. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (1) to this Form 4.
- F2The price reported in Column 4 of Line 4 with respect to the 75,758 shares sold on December 5, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.25 to $31.355. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (2) to this Form 4.
- F3The price reported in Column 4 of Line 6 with respect to the 59,002 shares sold on December 5, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.25 to $31.415. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (3) to this Form 4.
- F4The price reported in Column 4 of Line 8 with respect to the 19,614 shares sold on December 6, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.25 to $30.26. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (4) to this Form 4.
- F5The price reported in Column 4 of Line 10 with respect to the 54,230 shares sold on December 6, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.25 to $30.26. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (5) to this Form 4.
- F6These options vested in three equal annual installments beginning February 23, 2011.
- F7These options vested in three equal annual installments beginning February 6, 2014.
- F8These options vested in three equal annual installments beginning February 1, 2013.
- F9These options vested in three equal annual installments beginning February 2, 2012.