SEC Form 4 · accession 0001321646-19-000002
Kraton Corp · KRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzanna Pesgens
Officer — VP, Chief Procurement Officer
Period of report
Jan 6, 2019
Accepted (ET)
Jan 8, 2019 · 5:02 pm EST
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 | Jan 6, 2019 | M | 6,160 | $0.00 | A | 6,160 | D | |
| Common StockF1 | Jan 6, 2019 | F | 3,188 | $23.095 | D | 2,972 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Jan 6, 2019 | M | 6,160 | D | — | — | Common Stock | 6,160 | 2,417 | D |
Explanation of responses
- F1Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 6,160 restricted stock units granted to the Reporting Person on January 6, 2016.
- F2Each RSU represents a contingent right to receive one share of the Issuer's common stock.
- F3All of the 6,160 RSUs granted on January 6, 2016 vested on January 6, 2019. The vested shares were delivered to the Reporting Person upon vest.