SEC Form 4 · accession 0001209191-17-005912
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
Jan 25, 2017
Accepted (ET)
Jan 27, 2017 · 4:39 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 StockF1 | Jan 25, 2017 | M | 1,420 | $58.26 | A | 6,580 | D | |
| Common Stock | Jan 25, 2017 | F | 975 | $131.01 | D | 5,605 | D | |
| Common Stock | Jan 25, 2017 | M | 736 | $73.47 | A | 6,341 | D | |
| Common Stock | Jan 25, 2017 | F | 553 | $131.01 | D | 5,788 | D | |
| Common Stock | Jan 25, 2017 | M | 745 | $87.30 | A | 6,533 | D | |
| Common Stock | Jan 25, 2017 | F | 506 | $131.01 | D | 6,027 | D | |
| Common StockF2 | holding | — | — | — | 5,148 | 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)F3 | $58.26 | Jan 25, 2017 | M | 1,420 | D | — | Mar 5, 2020 | Common Stock | 1,420 | 0 | D |
| Employee Stock Option (right to buy)F4 | $73.47 | Jan 25, 2017 | M | 736 | D | — | Feb 27, 2021 | Common Stock | 736 | 736 | D |
| Employee Stock Option (right to buy)F5 | $87.30 | Jan 25, 2017 | M | 745 | D | — | Feb 25, 2022 | Common Stock | 745 | 1,488 | D |
Explanation of responses
- F1Includes 45 shares acquired by reporting person under the Company's Employee Stock Purchase Plan between May 31, 2016 and December 30, 2016 and 11 shares acquired under the Company's Dividend Reinvestment Plan between July 29, 2016 and October 31, 2016.
- F2Information based on reporting person's Plan Statement as of December 31, 2016.
- F3The options for 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.
- F4The options for 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.
- F5The options for this grant vest in three annual installments: 745 shares on February 25, 2016; 744 shares on February 25, 2017; and 744 shares on February 25, 2018.