SEC Form 4 · accession 0001127602-16-067848
STEPAN CO · SCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Debra Stefaniak
Officer — VP, Business Transformation
Period of report
Nov 18, 2016
Accepted (ET)
Nov 21, 2016 · 1:39 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 18, 2016 | M | 1,000 | $37.51 | A | 6,497 | D | |
| Common Stock | Nov 18, 2016 | S | 100 | $77.47 | D | 6,397 | D | |
| Common Stock | Nov 18, 2016 | S | 100 | $77.48 | D | 6,297 | D | |
| Common Stock | Nov 18, 2016 | S | 100 | $77.49 | D | 6,197 | D | |
| Common Stock | Nov 18, 2016 | S | 200 | $77.58 | D | 5,997 | D | |
| Common Stock | Nov 18, 2016 | S | 100 | $77.69 | D | 5,897 | D | |
| Common Stock | Nov 18, 2016 | S | 100 | $77.71 | D | 5,797 | D | |
| Common Stock | Nov 18, 2016 | S | 200 | $77.77 | D | 5,597 | D | |
| Common Stock | Nov 18, 2016 | S | 100 | $77.78 | D | 5,497 | D | |
| Common StockF1 | holding | — | — | — | 2,205 | 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) | $37.51 | Nov 18, 2016 | M | 1,000 | D | Feb 7, 2013 | Feb 6, 2019 | Common Stock | 1,000 | 734 | D |
Explanation of responses
- F1Reflects ESOP II acquisitions that have occurred since the Reporting Person's last ownership report covering ESOP II holdings.