SEC Form 4 · accession 0001140361-16-084782
OCCIDENTAL PETROLEUM CORP /DE/ · OXY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen I Chazen
Director
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 5:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000797468
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 1, 2016 | S | 1,905 | $68.34 | D | 1,603,714 | D | |
| Common StockF3 | Nov 1, 2016 | S | 2,300 | $69.48 | D | 1,601,414 | D | |
| Common StockF4 | Nov 1, 2016 | S | 295 | $70.01 | D | 1,601,119 | D | |
| Common StockF5 | Nov 3, 2016 | S | 4,500 | $67.28 | D | 1,596,619 | D | |
| Common StockF6 | holding | — | — | — | 14,449 | I | By OPC Savings Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to two Rule 10b5-1 trading plans adopted by the reporting person on October 30, 2015 and June 20, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.98 to $68.97, inclusive. The reporting person undertakes to provide to Occidental Petroleum Corporation, any security holder of Occidental Petroleum Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 2 of this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.00 to $69.94, inclusive. The reporting person undertakes to provide to Occidental Petroleum Corporation, any security holder of Occidental Petroleum Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 3 of this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 to $70.03, inclusive. The reporting person undertakes to provide to Occidental Petroleum Corporation, any security holder of Occidental Petroleum Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 4 of this Form 4.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.84 to $67.53, inclusive. The reporting person undertakes to provide to Occidental Petroleum Corporation, any security holder of Occidental Petroleum Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 5 of this Form 4.
- F6Based on a plan statement dated October 31, 2016.