SEC Form 4 · accession 0001127602-17-017782
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
May 9, 2017
Accepted (ET)
May 11, 2017 · 5:52 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 | May 9, 2017 | M | 381 | $25.605 | A | 141,952 | D | |
| Common Stock | May 9, 2017 | S | 381 | $85.15 | D | 141,571 | D | |
| Common Stock | May 10, 2017 | M | 5,000 | $25.605 | A | 146,571 | D | |
| Common Stock | May 10, 2017 | S | 5,000 | $85.15 | D | 141,571 | D | |
| Common StockF1 | holding | — | — | — | 104,423 | D | ||
| Common Stock | holding | — | — | — | 10,872 | I | By Esop II Trust | |
| Common StockF2 | holding | — | — | — | 160,000 | I | By Family LLC | |
| Common StockF2 | holding | — | — | — | 48,000 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 54,978 | I | By Family Trust III | |
| Common StockF2 | holding | — | — | — | 40,000 | I | By Family Trust IV | |
| Common Stock | holding | — | — | — | 768 | I | By Spouse |
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 | May 9, 2017 | M | 381 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 381 | 20,000 | D |
| Employee Stock Option (Right to Buy) | $25.605 | May 10, 2017 | M | 5,000 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 5,000 | 15,000 | D |
Explanation of responses
- F1Joint Tenancy with Spouse.
- F2The 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 the purpose of Section 16 or for any other purpose.