SEC Form 4 · accession 0001321646-16-000269
Kraton Corp · KRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dan F Smith
Director
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 4:15 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 | Sep 6, 2016 | M | 14,801 | $13.512 | A | 66,254 | D | |
| Common StockF1 | Sep 6, 2016 | S | 14,801 | $36.5112 | D | 51,453 | 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) | $13.512 | Sep 6, 2016 | M | 14,801 | D | Feb 4, 2008 | Feb 4, 2018 | Common Stock | 14,801 | 0 | D |
Explanation of responses
- F1The price in column 4 is a weighted average. The prices actually received ranged from $36.50 to $36.615. For all transactions reported in this Form 4 utilizing a weighted average price, thereporting 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 separate price within the range.