SEC Form 4 · accession 0001209191-18-030589
CABOT CORP · CBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick M. Prevost
Director
Period of report
May 14, 2018
Accepted (ET)
May 16, 2018 · 5:09 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 | May 14, 2018 | M | 92,040 | $39.54 | A | 375,085 | D | |
| Common StockF1 | May 14, 2018 | S | 92,040 | $61.81 | D | 283,045 | D | |
| Common Stock | May 15, 2018 | M | 2,200 | $47.62 | A | 285,245 | D | |
| Common StockF2 | May 15, 2018 | S | 2,200 | $61.16 | D | 283,045 | D | |
| Common Stock | May 15, 2018 | M | 29,643 | $39.54 | A | 312,688 | D | |
| Common StockF3 | May 15, 2018 | S | 29,643 | $61.11 | D | 283,045 | 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)F4 | $39.54 | May 14, 2018 | M | 92,040 | D | — | Oct 15, 2019 | Common Stock | 92,040 | 29,643 | D |
| Employee Stock Option (Right to Buy)F5 | $47.62 | May 15, 2018 | M | 2,200 | D | — | Oct 15, 2019 | Common Stock | 2,200 | 70,240 | D |
| Employee Stock Option (Right to Buy)F4 | $39.54 | May 15, 2018 | M | 29,643 | D | — | Oct 15, 2019 | Common Stock | 29,643 | 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 $61.10 to $61.96, 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 $61.155 to $61.170, 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.
- F3The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $61.10 to $61.16, 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.
- F4121,683 shares were subject to the option, all of which vested July 23, 2016.
- F572,440 shares were subject to the option. The option vested over a three year period as follows: 30% on November 8, 2014, 30% on November 8, 2015 and 40% on July 23, 2016.