SEC Form 4 · accession 0001225208-18-013934
Univar Inc. · UNVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen D Newlin
Officer — Executive Chairman · Director
Period of report
Sep 30, 2018
Accepted (ET)
Oct 1, 2018 · 5:14 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 | Sep 30, 2018 | M | 12,500 | $0.00 | A | 180,707 | D | |
| Common StockF2 | Sep 30, 2018 | F | 5,556 | $30.66 | D | 175,151 | 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)-3F1,F3 | — | Sep 30, 2018 | M | 12,500 | D | — | — | Common Stock | 12,500 | 50,000 | D |
Explanation of responses
- F1Each restricted 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 their 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 to the Reporting Person's Form 4 filed on January 30, 2017 (the "Grant Form 4"). These are the same RSUs that were converted into the common stok reported in Table I and are subject to the Time-Based Vesting condition defined in footnote two to the Grant Form 4, and subject to the Report Person's continuing to be employed by or providing services as a Director to the Issuer through each such date.