SEC Form 4 · accession 0000899243-18-012259
EASTMAN CHEMICAL CO · EMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brad A Lich
Officer — EVP & CCO
Period of report
May 8, 2018
Accepted (ET)
May 10, 2018 · 1:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000915389
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 8, 2018 | S | 10,963 | $105.54 | D | 18,997 | D | |
| Common Stock | May 8, 2018 | M | 1,805 | $39.84 | A | 20,802 | D | |
| Common Stock | May 8, 2018 | S | 1,805 | $105.75 | D | 18,997 | D | |
| Common Stock | May 9, 2018 | S | 5,669 | $105.75 | D | 13,328 | D | |
| Common Stock | May 9, 2018 | M | 1,263 | $39.84 | A | 14,591 | D | |
| Common Stock | May 9, 2018 | S | 1,263 | $105.75 | D | 13,328 | D | |
| Common Stock | May 9, 2018 | M | 5,134 | $38.30 | A | 18,462 | D | |
| Common Stock | May 9, 2018 | S | 5,134 | $105.75 | D | 13,328 | D | |
| Common Stock | holding | — | — | — | 953 | I | By ESOP | |
| Common StockF2 | holding | — | — | — | 1,956 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $39.84 | May 8, 2018 | M | 1,805 | D | Nov 2, 2013 | Nov 1, 2020 | Common Stock | 1,805 | 1,263 | D |
| Employee Stock Option (right to buy) | $39.84 | May 9, 2018 | M | 1,263 | D | Nov 2, 2013 | Nov 1, 2020 | Common Stock | 1,263 | 0 | D |
| Employee Stock Option (right to buy) | $38.30 | May 9, 2018 | M | 5,134 | D | Nov 1, 2014 | Oct 31, 2021 | Common Stock | 5,134 | 0 | D |
Explanation of responses
- F1Average weighted sale price for shares disposed of in the reported transaction. The shares were sold in multiple broker's transactions at various prices per share ranging from $105.50 to $105.62. The reporting person undertakes to provide to the issuer, any stockholder of the issuer, 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 this footnote (1).
- F2Includes 8 shares acquired since February 16, 2018 resulting from automatic reinvestment of dividends.