SEC Form 4 · accession 0001209191-16-118478
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
May 5, 2016
Accepted (ET)
May 9, 2016 · 4:30 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,F2 | May 5, 2016 | M | 710 | $58.26 | A | 4,367 | D | |
| Common Stock | May 5, 2016 | M | 737 | $73.47 | A | 5,104 | D | |
| Common StockF3 | holding | — | — | — | 5,098 | 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 | $58.26 | May 5, 2016 | M | 710 | D | — | Mar 5, 2020 | Common Stock | 710 | 1,420 | D |
| Employee Stock Option (right to buy)F5 | $73.47 | May 5, 2016 | M | 737 | D | — | Feb 27, 2021 | Common Stock | 737 | 1,472 | D |
Explanation of responses
- F1Includes 1 share acquired in Company's Dividend Reinvestment Plan on April 29, 2016.
- F2Includes 16 shares acquired by reporting person under the Company's Employee Stock Purchase Plan between March 31, 2016 and April 29, 2016.
- F3Information based on reporting person's Plan Statement as of March 31, 2016.
- F4The options under this grant vested in three annual installments: 710 shares on March 5, 2014; 710 shares on March 5, 2015; and 710 shares on March 5, 2016.
- F5The options under this grant vest in three annual installments: 737 shares on February 27, 2015; 736 shares on February 27, 2016; and 736 shares on February 27, 2017.