SEC Form 4 · accession 0001209191-18-046164
CABOT CORP · CBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Berube
Officer — SVP, General Counsel
Period of report
Aug 9, 2018
Accepted (ET)
Aug 10, 2018 · 1:35 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 9, 2018 | M | 6,368 | $39.54 | A | 52,127 | D | |
| Common StockF1 | Aug 9, 2018 | S | 6,368 | $65.51 | D | 45,759 | D | |
| Common Stock | Aug 9, 2018 | M | 7,080 | $39.54 | A | 52,839 | D | |
| Common StockF2 | Aug 9, 2018 | S | 7,080 | $65.35 | D | 45,759 | D | |
| Common StockF3 | holding | — | — | — | 8,615 | I | Through the Trustee of 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)F4 | $39.54 | Aug 9, 2018 | M | 6,368 | D | — | Nov 11, 2025 | Common Stock | 6,368 | 16,047 | D |
| Employee Stock Option (Right to Buy)F4 | $39.54 | Aug 9, 2018 | M | 7,080 | D | — | Nov 11, 2025 | Common Stock | 7,080 | 8,967 | D |
Explanation of responses
- F1The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $65.50 to $65.54, 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 $65.28 to $65.44, 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.
- F3Reflects retirement plan contribution by the Corporation.
- F422,415 shares were subject to the option. The option vests over a three year period as follows: 30% on November 12, 2016, 30% on November 12, 2017 and 40% on November 12, 2018.