SEC Form 4 · accession 0000090185-15-000108
SIGMA ALDRICH CORP · SIAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas Rau
Officer — VP, Human Resources
Period of report
Aug 11, 2015
Accepted (ET)
Aug 12, 2015 · 3:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000090185
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 11, 2015 | M | 1,850 | $52.76 | A | 16,676 | D | |
| Common Stock | Aug 11, 2015 | M | 2,232 | $37.56 | A | 18,908 | D | |
| Common Stock | Aug 11, 2015 | M | 2,439 | $48.61 | A | 21,347 | D | |
| Common Stock | Aug 11, 2015 | M | 1,600 | $62.49 | A | 22,947 | D | |
| Common Stock | Aug 11, 2015 | M | 1,422 | $70.32 | A | 24,369 | D | |
| Common StockF1 | Aug 11, 2015 | S | 9,543 | $139.68 | D | 14,826 | D | |
| Common StockF2 | holding | — | — | — | 231 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| ISO Stock Option Right To BuyF3 | $52.76 | Aug 11, 2015 | M | 1,850 | D | Feb 15, 2011 | Feb 15, 2018 | Common Stock | 1,850 | 0 | D |
| ISO Stock Option Right To BuyF4 | $37.56 | Aug 11, 2015 | M | 2,232 | D | Feb 17, 2010 | Feb 17, 2019 | Common Stock | 2,232 | 0 | D |
| ISO Stock Option Right To BuyF5 | $48.61 | Aug 11, 2015 | M | 2,439 | D | Feb 16, 2011 | Feb 16, 2020 | Common Stock | 2,439 | 0 | D |
| ISO Stock Option Right To BuyF6 | $62.49 | Aug 11, 2015 | M | 1,600 | D | Feb 14, 2012 | Feb 14, 2021 | Common Stock | 1,600 | 0 | D |
| ISO Stock Option Right To BuyF7 | $70.32 | Aug 11, 2015 | M | 1,422 | D | Feb 14, 2013 | Feb 14, 2022 | Common Stock | 1,422 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.681 to $139.683, inclusive. The reporting person undertakes to provide to Sigma-Aldrich Corporation, any security holder of Sigma-Aldrich Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- F2The number of shares is based on a 401(k) statement dated as of 8/11/15.
- F3The options vested 100% after three years.
- F4The options were granted on February 17, 2009 and vested in three equal annual installments beginning February 17, 2010.
- F5The options were granted on February 16, 2010 and vested in three equal annual installments beginning February 16, 2011.
- F6The options were granted on February 14, 2011 and vested in three equal annual installments beginning February 14, 2012.
- F7The options were granted on February 14, 2012 and vested in three equal annual installments beginning February 14, 2013.