SEC Form 4 · accession 0001534701-18-000049
Phillips 66 · PSX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paula Ann Johnson
Officer — Executive VP and Gen Counsel
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 5:45 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | Feb 6, 2018 | A | 7,173 | $94.85 | A | 23,066 | D | |
| Common Stock | Feb 7, 2018 | M | 6,497 | $62.17 | A | 38,347 | D | |
| Common Stock | Feb 7, 2018 | F | 2,297 | $96.84 | D | 36,050 | D | |
| Common Stock | holding | — | — | — | 1,155 | I | By 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $94.85 | Feb 6, 2018 | A | 29,900 | A | — | Feb 6, 2028 | Common Stock | 29,900 | 29,900 | D |
| Stock UnitsF3 | $62.17 | Feb 7, 2018 | M | 6,497 | D | Feb 7, 2018 | — | Common Stock | 6,497 | 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.
- F2The stock options become exercisable in three equal annual installments beginning on February 6, 2019.
- F3These Stock Units do not have an expiration date.