SEC Form 4 · accession 0001127602-16-066003
STEPAN CO · SCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur W Mergner
Officer — VP & General Manager
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 3:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000094049
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 1, 2016 | M | 2,438 | $25.605 | A | 7,438 | D | |
| Common Stock | Nov 1, 2016 | S | 100 | $69.78 | D | 7,338 | D | |
| Common Stock | Nov 1, 2016 | S | 400 | $69.8128 | D | 6,938 | D | |
| Common Stock | Nov 1, 2016 | S | 1,938 | $69.8292 | D | 5,000 | D | |
| Common StockF1 | holding | — | — | — | 5,986 | I | By Esop II Trust |
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) | $25.60 | Nov 1, 2016 | M | 2,438 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 2,438 | 0 | D |
Explanation of responses
- F1Reflects ESOP II acquisitions that have occurred since the Reporting Person's last ownership report covering ESOP II holdings.