SEC Form 4 · accession 0001179110-16-029185
CHASE CORP · CCF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter R Chase
Officer — Executive Chairman · Director · 10% Owner
Period of report
Sep 1, 2016
Accepted (ET)
Sep 1, 2016 · 2:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000830524
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Chase Corporation Common Stock | Sep 1, 2016 | M | 11,144 | $12.77 | A | 737,766 | D | |
| Chase Corporation Common Stock | Sep 1, 2016 | F | 2,211 | $64.37 | D | 735,555 | D | |
| Chase Corporation Common Stock | Sep 1, 2016 | F | 4,203 | $64.37 | D | 731,352 | D | |
| Chase Corporation Common StockF2 | holding | — | — | — | 169,578 | I | Peter R. Chase 2014 Annuity Trust | |
| Chase Corporation Common StockF1 | holding | — | — | — | 177,011 | I | Peter R. Chase Insurance Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy) | $12.77 | Sep 1, 2016 | M | 11,144 | A | Aug 31, 2014 | Aug 31, 2021 | Common Stock | 11,144 | 0 | D |
Explanation of responses
- F1Represents shares held by the Peter R. Chase Insurance Trust.
- F2Reflects shares held by the Peter R. Chase 2014 qualified Annuity Trust, a grantor retained annuity trust.