SEC Form 4 · accession 0001225208-17-007182
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
Mar 31, 2017
Accepted (ET)
Apr 3, 2017 · 6:48 pm EDT
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 | Mar 31, 2017 | M | 31,251 | $0.00 | A | 306,882 | D | |
| Common StockF1 | Mar 31, 2017 | M | 12,500 | $0.00 | A | 319,382 | D | |
| Common StockF2 | Mar 31, 2017 | F | 120,904 | $30.66 | D | 198,478 | 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,F3 | — | Mar 31, 2017 | M | 31,251 | D | — | — | Common Stock | 31,251 | 62,502 | D |
| Restricted Stock Units (RSUs)-3F1,F4 | — | Mar 31, 2017 | M | 12,500 | D | — | — | Common Stock | 12,500 | 275,000 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.
- F2Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on settlement of restricted stock units. No shares were sold.
- F3This amount was granted on Reporting Person's Form 4 filed on June 1, 2016 (the "Grant Form 4"). The remaining RSUs are subject to the Time-Based Vesting Condition described in footnote 2 of the Grant Form 4, and subject to the Reporting Person's continuing to be employed by Issuer through each such date.
- F4This amount was granted on Reporting Person's Form 4 filed on January 30, 2017 (the "Grant Form 4"). These RSUs are subject to the Time-Based Vesting Condition defined in footnote 2 to the Grant Form 4, and subject to the Reporting Person's continuing to be employed by, or providing services as a Director to the Issuer through each such date.