SEC Form 4 · accession 0001209191-16-138761
CABOT CORP · CBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick M. Prevost
Director
Period of report
Aug 24, 2016
Accepted (ET)
Aug 26, 2016 · 1:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000016040
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 24, 2016 | M | 45,615 | $23.15 | A | 326,023 | D | |
| Common StockF1 | Aug 24, 2016 | S | 45,615 | $49.59 | D | 280,408 | D | |
| Common Stock | Aug 25, 2016 | M | 2,185 | $23.15 | A | 282,593 | D | |
| Common StockF2 | Aug 25, 2016 | S | 2,185 | $49.64 | D | 280,408 | D |
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)F3 | $23.15 | Aug 24, 2016 | M | 45,615 | D | — | Oct 15, 2019 | Common Stock | 45,615 | 103,185 | D |
| Employee Stock Option (Right to Buy)F3 | $23.15 | Aug 25, 2016 | M | 2,185 | D | — | Oct 15, 2019 | Common Stock | 2,185 | 101,000 | D |
Explanation of responses
- F1The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $49.55 to $49.695, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Corporation or any security holder of the Corporation, upon request, full information regarding the number of shares sold at each separate price.
- F2The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $49.55 to $49.792, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Corporation or any security holder of the Corporation, upon request, full information regarding the number of shares sold at each separate price.
- F3151,000 shares were subject to the option. The option vested over a three year period as follows: 30% on November 13, 2010, 30% on November 13, 2011 and 40% on November 13, 2012.