SEC Form 4 · accession 0001209191-18-003505
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 10, 2018
Accepted (ET)
Jan 12, 2018 · 9:42 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,F2 | Jan 10, 2018 | A | 1,140 | $0.00 | A | 5,321 | 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) | $38.90 | Jan 10, 2018 | A | 3,240 | A | Jan 10, 2021 | Jan 10, 2028 | Common Stock | 3,240 | 3,240 | 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.
- F2Includes 521 shares acquired by the reporting person in accordance with the provisions of the A. Schulman, Inc. Employee Stock Purchase Plan.