SEC Form 4 · accession 0001209191-17-009535
CABOT CORP · CBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Friedrich von Gottberg
Officer — Senior Vice President
Period of report
Feb 8, 2017
Accepted (ET)
Feb 10, 2017 · 4:13 pm EST
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 | Feb 8, 2017 | M | 19,662 | $35.25 | A | 48,937 | D | |
| Common StockF1 | Feb 8, 2017 | S | 19,662 | $56.89 | D | 29,275 | D | |
| Common StockF2 | holding | — | — | — | 15,299 | I | Through the Trustee for the Corporation's 401(k) 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)F3 | $35.25 | Feb 8, 2017 | M | 19,662 | D | — | Nov 8, 2022 | Common Stock | 19,662 | 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 $56.75 to $57.05, 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.
- F2Reflects retirement plan contributions by the Corporation.
- F319,662 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.