SEC Form 4 · accession 0001225208-17-002188
Univar Inc. · UNVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen D Newlin
Officer — Chairman, President & CEO · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 1, 2017 · 5:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001494319
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 31, 2017 | M | 10,417 | $0.00 | A | 138,131 | D | |
| Common StockF1 | Jan 31, 2017 | M | 10,417 | $0.00 | A | 148,548 | D | |
| Common Stock | holding | — | — | — | 28,892 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (RSUs)F1,F2 | — | Jan 31, 2017 | M | 10,417 | D | — | — | Common Stock | 10,417 | 218,753 | D |
| Restricted Stock Units (RSUs)F1,F3 | — | Jan 31, 2017 | M | 10,417 | D | — | — | Common Stock | 10,417 | 208,336 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the vesting of restricted stock units in shares of common stock on their scheduled vesting date.
- F2This amount was granted on Reporting Person's Form 4 filed on June 1, 2016 (the "Grant Form 4"). 41,668 RSUs are subject only to the Time-Based Vesting Condition defined in footnote 2 to the Grant Form 4. The remaining RSUs are subject to the Time-Based Vesting Condition and the stock price conditions described in footnotes 4 and 5 of the Grant Form 4.
- F3This amount was granted on Reporting Person's Form 4 filed on June 1, 2016 (the "Grant Form 4"). The RSUs that have vested have satisfied both the Time Based Vesting Condition and the stock price conditions described in footnote 4 to the Grant Form 4. 41,668 RSUs are subject to the Time Based Vesting Condition but have satisfied the stock price conditions described in footnote 4 to the Grant Form 4. 41,668 RSUs are subject only to the Time Based Vesting Condition defined in footnote 2 to the Grant Form 4. The remaining RSUs are subject to the Time Based Vesting Condition and the stock price conditions described in footnote 5 of the Grant Form 4.