SEC Form 5 · accession 0001127602-17-006019
STEPAN CO · SCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
F Quinn Stepan Jr.
Officer — Chairman, President & CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 4:55 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 16, 2016 | G | 355 | $0.00 | A | 2,518 | I | By Spouse |
| Common StockF1 | Nov 16, 2016 | G | 355 | $0.00 | A | 126,800 | D | |
| Common Stock | Dec 18, 2016 | G | 16,551 | $0.00 | A | 143,351 | D | |
| Common StockF2,F3 | holding | — | — | — | 104,423 | D | ||
| Common Stock | holding | — | — | — | 10,741 | I | By Esop II Trust | |
| Common StockF4 | holding | — | — | — | 48,000 | I | By Family Trust | |
| Common StockF5 | holding | — | — | — | 54,978 | I | By Family Trust III | |
| Common StockF4 | holding | — | — | — | 40,000 | I | By Family Trust IV | |
| Common Stock | holding | — | — | — | 160,000 | I | By Family LLC | |
| Common Stock | holding | — | — | — | 442,047 | I | Member Of Plan Committee Of Stepan Company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a reclassification of 600 shares as being held directly rather than directly in joint tenancy with spouse.
- F2Reflects a reclassification of 600 shares as being held directly rather than directly in joint tenancy with spouse (as described in footnote 1) and a reduction of 355 shares incorrectly included in the Form 4 filed by the reporting person on December 19, 2016 (related to one of the gifts reported on this Form 5).
- F3Joint Tenancy with Spouse.
- F4The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F5Holding has been reduced by 87 shares due to administrative error in prior reports.