SEC Form 4 · accession 0001321646-16-000262
Kraton Corp · KRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Leo Simmons
Officer — VP,General Counsel & Secretary
Period of report
Aug 16, 2016
Accepted (ET)
Aug 17, 2016 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001321646
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 16, 2016 | M | 4,500 | $13.90 | A | 28,104 | D | |
| Common StockF1 | Aug 16, 2016 | S | 4,500 | $31.87 | D | 23,604 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Options (Right to Buy)F2 | $13.90 | Aug 16, 2016 | M | 4,500 | D | — | Jan 28, 2020 | Common Stock | 4,500 | 0 | D |
Explanation of responses
- F1The price in column 4 is a weighted average. The prices actually received ranged from $31.873 to $31.88. For all transactions reported in this Form 4 utilizing a weighted average price,the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separateprice within the range.
- F2The options became exercisable in equal installments on each of the first five anniversaries of January 28, 2010.