SEC Form 4 · accession 0001321646-17-000144
Kraton Corp · KRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Holger R. Jung
Officer — SVP & Polymer Seg. President
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 | 3,000 | $23.84 | A | 45,585 | D | |
| Common StockF1 | Oct 30, 2017 | S | 3,000 | $47.83 | D | 42,585 | D | |
| Common Stock | Oct 30, 2017 | M | 2,958 | $36.98 | A | 45,543 | D | |
| Common StockF2 | Oct 30, 2017 | S | 2,958 | $48.23 | D | 42,585 | D | |
| Common Stock | Oct 30, 2017 | M | 16,800 | $36.98 | A | 59,385 | D | |
| Common StockF1 | Oct 30, 2017 | S | 16,800 | $47.83 | D | 42,585 | D | |
| Common Stock | Oct 31, 2017 | M | 10,000 | $27.98 | A | 52,585 | D | |
| Common StockF3 | Oct 31, 2017 | S | 10,000 | $49.03 | D | 42,585 | D | |
| Common Stock | Oct 31, 2017 | M | 10,000 | $28.42 | A | 52,585 | D | |
| Common StockF4 | Oct 31, 2017 | S | 10,000 | $48.58 | D | 42,585 | 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)F5 | $23.84 | Oct 30, 2017 | M | 3,000 | D | — | Mar 4, 2023 | Common Stock | 3,000 | 0 | D |
| Employee Options (Right to Buy)F6 | $36.98 | Oct 30, 2017 | M | 2,958 | D | — | Mar 14, 2021 | Common Stock | 2,958 | 16,800 | D |
| Employee Options (Right to Buy)F6 | $36.98 | Oct 30, 2017 | M | 16,800 | D | — | Mar 14, 2021 | Common Stock | 16,800 | 0 | D |
| Employee Options (Right to Buy)F7 | $27.98 | Oct 31, 2017 | M | 10,000 | D | — | Mar 3, 2024 | Common Stock | 10,000 | 0 | D |
| Employee Options (Right to Buy)F8 | $28.42 | Oct 31, 2017 | M | 10,000 | D | — | Mar 5, 2022 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The price in column 4 is a weighted average. The prices actually received ranged from $47.77 to $47.91. 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 $48.12 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 price in column 4 is a weighted average. The prices actually received ranged from $49.00 to $49.05. 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.
- F4The price in column 4 is a weighted average. The prices actually received ranged from $48.50 to $48.65. 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.
- F5The options became exerciseable in equal installments on each of the first three anniversaries of March 4, 2013.
- F6The options became exerciseable in equal installments on each of the first three anniversaries of March 14, 2011.
- F7The options became exerciseable in equal installments on each of the first three anniversaries of March 3, 2014.
- F8The options became exerciseable in equal installments on each of the first three anniversaries of March 5, 2012.