SEC Form 4 · accession 0001321646-17-000143
Kraton Corp · KRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen E. Tremblay
Officer — Executive Vice President & CFO
Period of report
Oct 30, 2017
Accepted (ET)
Nov 1, 2017 · 4:20 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 | Oct 30, 2017 | M | 12,619 | $13.512 | A | 83,930 | D | |
| Common StockF1 | Oct 30, 2017 | S | 12,619 | $47.82 | D | 71,311 | D | |
| Common Stock | Oct 30, 2017 | M | 12,193 | $14.46 | A | 83,504 | D | |
| Common StockF1 | Oct 30, 2017 | S | 12,193 | $47.82 | D | 71,311 | D | |
| Common Stock | Oct 31, 2017 | M | 24,811 | $14.46 | A | 96,122 | D | |
| Common StockF2 | Oct 31, 2017 | S | 24,811 | $48.23 | D | 71,311 | 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)F3 | $13.512 | Oct 30, 2017 | M | 12,619 | D | — | Jun 19, 2018 | Common Stock | 12,619 | 0 | D |
| Employee Options (Right to Buy)F4 | $14.46 | Oct 30, 2017 | M | 12,193 | D | — | Jan 3, 2020 | Common Stock | 12,193 | 24,811 | D |
| Employee Options (Right to Buy)F5 | $14.46 | Oct 31, 2017 | M | 24,811 | D | — | Jan 3, 2020 | Common Stock | 24,811 | 0 | D |
Explanation of responses
- F1The price in column 4 is a weighted average. The prices actually received ranged from $47.70 to $48.30. 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 separate price within the range.
- F2The price in column 4 is a weighted average. The prices actually received ranged from $47.70 to $48.43. 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 separate price within the range.
- F3The options became exerciseable in equal installments on each of the first three anniversaries of June 19, 2008.
- F4The options became exerciseable in equal installments on each of the first five anniversaries of January 3, 2010.
- F5The options became exerciseable in equal installments on each of the first five anniversaries of January 3, 2010.