SEC Form 4 · accession 0001321646-18-000147
Kraton Corp · KRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Michael Fogarty
Officer — President and CEO · Director
Period of report
Sep 20, 2018
Accepted (ET)
Sep 24, 2018 · 4:00 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 StockF1 | Sep 20, 2018 | M | 18,856 | $14.46 | A | 273,281 | D | |
| Common StockF1 | Sep 20, 2018 | S | 18,856 | $50.00 | D | 254,425 | D | |
| Common StockF1 | Sep 21, 2018 | M | 27,748 | $14.46 | A | 282,173 | D | |
| Common StockF1,F2 | Sep 21, 2018 | S | 27,748 | $50.0009 | D | 254,425 | 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 | $14.46 | Sep 20, 2018 | M | 18,856 | A | — | Jan 3, 2020 | Common Stock | 18,856 | 67,244 | D |
| Employee Options (Right to Buy)F3 | $14.46 | Sep 21, 2018 | M | 27,748 | A | — | Jan 3, 2020 | Common Stock | 27,748 | 39,496 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2018.
- F2The price in column 4 is a weighted average. The prices actually received ranged from $50 to $50.20. 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 exercisable in equal installments on each of the first five anniversaries of January 3, 2010.