SEC Form 4 · accession 0001127602-17-035115
STEPAN CO · SCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur W Mergner
Officer — VP, Supply Chain
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 3:26 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 | Dec 15, 2017 | A | 4 | $79.84 | A | 2,964 | D | |
| Common StockF1 | holding | — | — | — | 6,166 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share UnitsF2,F3 | — | Dec 15, 2017 | A | 13 | A | — | — | Common Stock | 13 | 4,601 | D |
Explanation of responses
- F1This holding is re-reported solely to gain access to the electronic filing system to file this amendment, and the sole purpose of the amendment is to add the Power of Attorney that was inadvertently omitted from the original filing.
- F2Share Units convert on a one-for-one basis into Common Stock.
- F3Share Units are acquired under the Management Incentive Plan (As Amended and Restated Effective January 1, 2015) ("MIP"), a nonqualified deferred compensation plan which allows MIP participants to elect to defer all or a portion of their deferred compensation into accounts pursuant to MIP provisions.