SEC Form 4 · accession 0001209191-16-151956
QUAKER CHEMICAL CORP · KWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael F Barry
Officer — Chairman, CEO and President · Director
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 4:06 pm EST
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 Stock | Apr 20, 2016 | G | 616 | $0.00 | D | 118,486 | D | |
| Common Stock | Apr 20, 2016 | A | 308 | $0.00 | A | 1,980 | I | By son |
| Common Stock | Nov 21, 2016 | M | 3,078 | $38.13 | A | 121,564 | D | |
| Common Stock | Nov 21, 2016 | F | 1,943 | $122.50 | D | 119,621 | D | |
| Common Stock | Nov 21, 2016 | M | 13,081 | $58.26 | A | 132,702 | D | |
| Common Stock | Nov 21, 2016 | F | 9,027 | $122.50 | D | 123,675 | D | |
| Common Stock | Nov 21, 2016 | M | 11,801 | $73.47 | A | 135,476 | D | |
| Common Stock | Nov 21, 2016 | F | 9,039 | $122.50 | D | 126,437 | D | |
| Common Stock | Nov 21, 2016 | M | 5,966 | $87.30 | A | 132,403 | D | |
| Common Stock | Nov 21, 2016 | F | 4,907 | $122.50 | D | 127,496 | D | |
| Common StockF1 | holding | — | — | — | 33,484 | 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)F2 | $38.13 | Nov 21, 2016 | M | 3,078 | D | — | Mar 6, 2019 | Common Stock | 3,078 | 0 | D |
| Employee Stock Option (right to buy)F3 | $58.26 | Nov 21, 2016 | M | 13,081 | D | — | Mar 5, 2020 | Common Stock | 13,081 | 0 | D |
| Employee Stock Option (right to buy)F4 | $73.47 | Nov 21, 2016 | M | 11,801 | D | — | Feb 27, 2021 | Common Stock | 11,801 | 5,900 | D |
| Employee Stock Option (right to buy)F5 | $87.30 | Nov 21, 2016 | M | 5,966 | D | — | Feb 25, 2022 | Common Stock | 5,966 | 11,931 | D |
Explanation of responses
- F1Information based on reporting person's Plan Statement as of September 30, 2016.
- F2The options for this grant vested in three annual installments: 5,352 shares on March 6, 2013; 5,352 shares on March 6, 2014; and 5,351 shares on March 6, 2015.
- F3The options for this grant vested in three annual installments: 4,360 shares on March 5, 2014; 4,360 shares on March 5, 2015; and 4,361 shares on March 5, 2016.
- F4The options for this grant vest in three annual installments: 5,901 shares on February 27, 2015; 5,900 shares on February 27, 2016; and 5,900 shares on February 27, 2017.
- F5The options for this grant vest in three annual installments: 5,966 shares on February 25, 2016; 5,966 shares on February 25, 2017; and 5,965 shares on February 25, 2018.