SEC Form 4 · accession 0001209191-16-139278
CABOT CORP · CBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas S. Cross
Officer — Executive Vice President
Period of report
Aug 29, 2016
Accepted (ET)
Aug 31, 2016 · 2:50 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 29, 2016 | M | 7,821 | $32.95 | A | 54,274 | D | |
| Common StockF1 | Aug 29, 2016 | S | 7,821 | $50.51 | D | 46,453 | D | |
| Common Stock | Aug 30, 2016 | M | 13,763 | $35.25 | A | 60,216 | D | |
| Common StockF2 | Aug 30, 2016 | S | 13,763 | $50.59 | D | 46,453 | 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 | $32.95 | Aug 29, 2016 | M | 7,821 | D | — | Nov 10, 2021 | Common Stock | 7,821 | 0 | D |
| Employee Stock Option (Right to Buy)F4 | $35.25 | Aug 30, 2016 | M | 13,763 | D | — | Nov 8, 2022 | Common Stock | 13,763 | 0 | D |
Explanation of responses
- F1The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $50.43 to $50.68, 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 $50.21 to $51.08, 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.
- F37,821 shares were subject to the option. The option vested over a three year period as follows: 30% on November 11, 2012, 30% on November 11, 2013 and 40% on November 11, 2014.
- F413,763 shares were subject to the option. The option vested over a three year period as follows: 30% on November 9, 2013, 30% on November 9, 2014 and 40% on November 9, 2015.