SEC Form 4 · accession 0001209191-17-003731
SCHULMAN A INC · SHLM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kristopher R Westbrooks
Officer — VP - Controller and CAO
Period of report
Jan 11, 2017
Accepted (ET)
Jan 13, 2017 · 5:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000087565
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 11, 2017 | A | 1,240 | $0.00 | A | 3,614 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $32.55 | Jan 11, 2017 | A | 4,080 | A | Jan 11, 2020 | Jan 11, 2027 | Common Stock | 4,080 | 4,080 | D |
Explanation of responses
- F1Award represents a grant of restricted stock units which restrictions lapse on the third anniversary of the grant date. On such date, these restricted stock units will be settled in shares of the Company's common stock on a 1-to-1 basis.