SEC Form 4 · accession 0001214659-18-003333
Huntsman CORP · HUN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Wade Rogers
Officer — Sr. VP, Human Resources
Period of report
May 2, 2018
Accepted (ET)
May 4, 2018 · 5:15 pm EDT
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 | May 2, 2018 | M | 15,021 | $13.50 | A | 292,411 | D | |
| Common Stock | May 2, 2018 | F | 10,086 | $29.46 | D | 282,325 | D | |
| Common Stock | May 2, 2018 | M | 26,844 | $17.59 | A | 309,169 | D | |
| Common Stock | May 2, 2018 | F | 20,275 | $29.49 | D | 288,894 | D | |
| Common Stock | May 2, 2018 | M | 38,915 | $13.41 | A | 327,809 | D | |
| Common Stock | May 2, 2018 | F | 26,052 | $29.48 | D | 301,757 | D | |
| Common Stock | May 2, 2018 | M | 31,566 | $17.85 | A | 333,323 | D | |
| Common Stock | May 2, 2018 | F | 24,020 | $29.47 | D | 309,303 | D | |
| Common Stock | May 2, 2018 | M | 25,961 | $21.22 | A | 335,264 | D | |
| Common Stock | May 2, 2018 | F | 21,531 | $29.53 | D | 313,733 | D | |
| Common Stock | May 2, 2018 | M | 14,793 | $22.77 | A | 328,526 | D | |
| Common Stock | May 2, 2018 | F | 12,744 | $29.51 | D | 315,782 | 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)F2 | $13.50 | May 2, 2018 | M | 15,021 | D | — | Feb 23, 2020 | Common Stock | 15,021 | 0 | D |
| Option (Right to Buy)F3 | $17.59 | May 2, 2018 | M | 26,844 | D | — | Feb 11, 2021 | Common Stock | 26,844 | 0 | D |
| Option (Right to Buy)F4 | $13.41 | May 2, 2018 | M | 38,915 | D | — | Feb 1, 2022 | Common Stock | 38,915 | 0 | D |
| Option (Right to Buy)F5 | $17.58 | May 2, 2018 | M | 31,566 | D | — | Feb 6, 2023 | Common Stock | 31,566 | 0 | D |
| Option (Right to Buy)F6 | $21.22 | May 2, 2018 | M | 25,961 | D | — | Feb 5, 2024 | Common Stock | 25,961 | 0 | D |
| Option (Right to Buy)F7 | $22.77 | May 2, 2018 | M | 14,793 | D | — | Feb 4, 2025 | Common Stock | 14,793 | 0 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. These shares were withheld by Huntsman Corporation for payment of the exercise price and applicable taxes, based on the market price of Huntsman Corporation's common stock at the time of the option exercise on May 2, 2018 ranging between $29.46 and $29.53 per share.
- F2These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 23, 2011.
- F3These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 2, 2012.
- F4These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 1, 2013.
- F5These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 6, 2014.
- F6These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 5, 2015.
- F7These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 4, 2016.