SEC Form 4 · accession 0001127602-16-066899
STEPAN CO · SCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory Servatius
Officer — VP of Human Resources
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 2:38 pm EST
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 9, 2016 | M | 1,000 | $25.605 | A | 19,343 | D | |
| Common Stock | Nov 9, 2016 | S | 1,000 | $72.93 | D | 18,343 | D | |
| Common Stock | Nov 10, 2016 | M | 1,000 | $25.605 | A | 19,343 | D | |
| Common Stock | Nov 10, 2016 | S | 1,000 | $73.93 | D | 18,343 | D | |
| Common Stock | Nov 10, 2016 | M | 1,000 | $25.605 | A | 19,343 | D | |
| Common Stock | Nov 10, 2016 | S | 1,000 | $74.93 | D | 18,343 | D | |
| Common Stock | Nov 11, 2016 | M | 832 | $25.605 | A | 19,175 | D | |
| Common Stock | Nov 11, 2016 | S | 800 | $76.93 | D | 18,375 | D | |
| Common Stock | Nov 11, 2016 | S | 32 | $77.0401 | D | 18,343 | D | |
| Common Stock | Nov 11, 2016 | M | 1,000 | $25.605 | A | 19,343 | D | |
| Common Stock | Nov 11, 2016 | S | 1,000 | $75.93 | D | 18,343 | D | |
| Common Stock | holding | — | — | — | 442,047 | I | Member Of Plan Committee Of Stepan Company | |
| Common StockF1 | holding | — | — | — | 8,816 | 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) | $25.605 | Nov 9, 2016 | M | 1,000 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 1,000 | 3,832 | D |
| Employee Stock Option (Right to Buy) | $25.605 | Nov 10, 2016 | M | 1,000 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 1,000 | 2,832 | D |
| Employee Stock Option (Right to Buy) | $25.605 | Nov 10, 2016 | M | 1,000 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 1,000 | 1,832 | D |
| Employee Stock Option (Right to Buy) | $25.605 | Nov 11, 2016 | M | 1,000 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 1,000 | 832 | D |
| Employee Stock Option (Right to Buy) | $25.605 | Nov 11, 2016 | M | 832 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 832 | 0 | D |
Explanation of responses
- F1Reflects ESOP II acquisitions and dispositions that have occurred since the Reporting Person's last ownership report covering ESOP II holdings.