SEC Form 4 · accession 0000899243-16-030875
EASTMAN CHEMICAL CO · EMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Humberto P Alfonso
Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 4, 2016 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000915389
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F3,F1 | $0.00 | Oct 3, 2016 | A | 890 | A | — | — | Common Stock | 890 | 14,094 | D |
| Phantom Stock UnitsF4,F3,F1 | $0.00 | Oct 3, 2016 | A | 448 | A | — | — | Common Stock | 448 | 14,542 | D |
Explanation of responses
- F1Phantom Stock units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.
- F2Voluntary deferral at election of director of a portion of director's retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.
- F3Includes 183 units credited since April 1, 2016 as hypothetical reinvestment of dividend equivalents.
- F4Automatic deferral of a portion of director's annual retainer fees into the director's stock account of the Directors' Deferred Compensation Plan.