SEC Form 4 · accession 0001534701-15-000077
Phillips 66 · PSX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Herman
Officer — Executive Vice President
Period of report
Nov 3, 2015
Accepted (ET)
Nov 4, 2015 · 1:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534701
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 3, 2015 | M | 4,012 | $26.33 | A | 7,703 | D | |
| Common Stock | Nov 3, 2015 | S | 4,012 | $90.72 | D | 3,691 | D | |
| Restricted Stock UnitsF1 | holding | — | — | — | 13,751 | D | ||
| Common StockF2 | holding | — | — | — | 4,468 | I | Phillips 66 Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3 | $26.33 | Nov 3, 2015 | M | 4,012 | D | — | Feb 10, 2016 | Common Stock | 4,012 | 0 | D |
Explanation of responses
- F1Restricted Stock Units settle for shares of Phillips 66 common stock on a 1-for-1 basis on the third anniversary of the grant provided performance criteria are met.
- F2Includes shares acquired through on-going acquisitions under 401(k) plan and/or routine dividend transactions that are exempt under rule 16a-1.
- F3The stock options became exercisable in three equal annual installments beginning on February 10, 2007.