SEC Form 4 · accession 0001127602-17-027754
STEPAN CO · SCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Pacholec
Officer — Vice President R&D
Period of report
Sep 15, 2017
Accepted (ET)
Sep 19, 2017 · 5:17 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 | Sep 15, 2017 | A | 83 | $80.79 | A | 48,597 | D | |
| Common Stock | Sep 18, 2017 | M | 500 | $25.605 | A | 49,097 | D | |
| Common Stock | Sep 18, 2017 | S | 500 | $81.10 | D | 48,597 | D | |
| Common Stock | Sep 18, 2017 | M | 500 | $25.605 | A | 49,097 | D | |
| Common Stock | Sep 18, 2017 | S | 500 | $81.60 | D | 48,597 | D | |
| Common Stock | Sep 18, 2017 | M | 500 | $25.605 | A | 49,097 | D | |
| Common Stock | Sep 18, 2017 | S | 500 | $82.10 | D | 48,597 | D | |
| Common StockF3 | holding | — | — | — | 2,054 | 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 | Sep 18, 2017 | M | 500 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 500 | 1,832 | D |
| Employee Stock Option (Right to Buy) | $25.605 | Sep 18, 2017 | M | 500 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 500 | 1,332 | D |
| Employee Stock Option (Right to Buy) | $25.605 | Sep 18, 2017 | M | 500 | D | Feb 9, 2012 | Feb 8, 2018 | Common Stock | 500 | 832 | D |
Explanation of responses
- F1Reflects acquisition of deferred share units under the Performance Award Deferred Compensation Plan ("Plan") pursuant to a dividend equivalent feature of the Plan.
- F2Transaction completed pursuant to a 10b5-1 trading plan.
- F3Reflects ESOP II acquisitions that have occurred since the Reporting Person's last ownership covering ESOP II holdings.