SEC Form 4 · accession 0001209191-15-064392
QUAKER CHEMICAL CORP · KWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald S Ettinger
Officer — VP - Human Resources
Period of report
Aug 4, 2015
Accepted (ET)
Aug 6, 2015 · 4:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000081362
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 4, 2015 | M | 689 | $38.13 | A | 3,779 | D | |
| Common StockF2 | Aug 4, 2015 | S | 689 | $91.4226 | D | 3,090 | D | |
| Common StockF3 | holding | — | — | — | 4,884 | I | By 401(k) |
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 | $38.13 | Aug 4, 2015 | M | 689 | D | Mar 6, 2013 | Mar 6, 2019 | Common Stock | 689 | 0 | D |
Explanation of responses
- F1Includes 20 shares acquired by reporting person under the Company's Employee Stock Purchase Plan between May 31, 2015 and July 31, 2015; includes 1 share acquired under the Company's Dividend Reinvestment Plan on July 31, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.00 to $91.70, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation ("Quaker"), any security holder of Quaker, 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) to this Form 4.
- F3Information based on reporting person's Plan statement as of June 30, 2015.
- F4The options for this grant vested in three annual installments: 689 shares on March 6, 2013; 689 shares on March 6, 2014; and 689 shares on March 6, 2015.