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STEPAN CO

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 01, 2019 Filed Oct 2, 2019 19:14 UTC GrantStock Units · Derivative 4 $97.06 $388.24
Disclosure

SEC source: 0001127602-19-029665 · form4.xml · derivative · entry 1

Dearth Randall S. · CIK 0001418244 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,244

Underlying: Common Stock · 4 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit represents the right to receive one share of issuer Common Stock.

F2 · derivative.exercise_date: Phantom stock units are payable in shares pursuant to the director's election either following separation from service or after a specified age.

F2 · derivative.expiration_date: Phantom stock units are payable in shares pursuant to the director's election either following separation from service or after a specified age.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:26 UTC
Behrens Scott R.VP/GM Surfactants
GrantShare Units · Derivative 22.523 $98.90 $2,227.52
Disclosure

SEC source: 0001127602-19-028551 · form4.xml · derivative · entry 3

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,932.294

Underlying: Common Stock · 22.523 shares

Expires not disclosed

F3 · security: Share 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.

F4 · derivative.exercise_price: Share Units convert on a one-for-one basis into Common Stock.

F6 · price: Price reported is the price of Common Stock on the date the dividend equivalents are payable pursuant to a dividend equivalent feature of the MIP.

F5 · derivative.exercise_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

F5 · derivative.expiration_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:26 UTC
Behrens Scott R.VP/GM Surfactants
GrantCommon Stock 26.057 $98.90 $2,577.04
Disclosure

SEC source: 0001127602-19-028551 · form4.xml · nonDerivative · entry 1

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,082.97

F1 · kind: Reflects acquisition of deferred share units under the Performance Award Deferred Compensation Plan ("Plan") pursuant to a dividend equivalent feature of the Plan.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 22:51 UTC GrantShare Units · Derivative 1.922 $98.90 $190.09
Disclosure

SEC source: 0001127602-19-028599 · form4.xml · derivative · entry 3

Catlett Janet Anne · CIK 0001747846 · VP, CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 762.297

Underlying: Common Stock · 1.922 shares

Expires not disclosed

F2 · security: Share 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.

F3 · derivative.exercise_price: Share Units convert on a one-for-one basis into Common Stock.

F5 · price: Price reported is the price of Common Stock on the date the dividend equivalents are payable pursuant to a dividend equivalent feature of the MIP.

F4 · derivative.exercise_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

F4 · derivative.expiration_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 22:51 UTC PurchaseCommon Stock 0.89 $98.32 $87.50
Disclosure

SEC source: 0001127602-19-028599 · form4.xml · nonDerivative · entry 1

Catlett Janet Anne · CIK 0001747846 · VP, CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,830.89

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
GrantShare Units · Derivative 13.485 $98.90 $1,333.67
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · derivative · entry 14

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,348.022

Underlying: Common Stock · 13.485 shares

Expires not disclosed

F4 · security: Share Units 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.

F5 · derivative.exercise_price: Share Units convert on a one-for-one basis into Common Stock.

F7 · price: Price reported is the price of Common Stock on the date the dividend equivalents are payable pursuant to a dividend equivalent feature of the MIP.

F6 · derivative.exercise_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

F6 · derivative.expiration_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Appreciation Right · Derivative 3,997 $0.00 Strike: $58.22 $0.00
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · derivative · entry 13

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,997 shares

Expires 2024-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Appreciation Right · Derivative 1,888 $0.00 Strike: $61.91 $0.00
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · derivative · entry 12

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,888 shares

Expires 2024-02-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Option (Right to Buy) · Derivative 1,332 $0.00 Strike: $58.22 $0.00
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · derivative · entry 11

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,332 shares

Expires 2024-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Option (Right to Buy) · Derivative 629 $0.00 Strike: $61.91 $0.00
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · derivative · entry 10

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 629 shares

Expires 2024-02-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Disposition to issuerCommon Stock 3,997 $99.39 $397,261.83
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 8

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,448.0797

F2 · kind: The Stock Appreciation Rights were settled in cash as per the terms of the award. For reporting purposes, however, the transaction is deemed to be a simultaneous acquisition and disposition of the underlying common stock and is reflected as such in this report.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 3,997 $58.22 $232,705.34
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 7

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,445.0797

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Disposition to issuerCommon Stock 1,888 $99.33 $187,535.04
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 6

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,448.0797

F2 · kind: The Stock Appreciation Rights were settled in cash as per the terms of the award. For reporting purposes, however, the transaction is deemed to be a simultaneous acquisition and disposition of the underlying common stock and is reflected as such in this report.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 1,888 $61.91 $116,886.08
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 5

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,336.0797

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 1,332 $99.29 $132,250.28
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 4

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,448.0797

F1 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $99.241 to $99.370, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 1,332 $58.22 $77,549.04
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 3

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,780.0797

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 629 $99.32 $62,472.28
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 2

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,448.0797

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:39 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 629 $61.91 $38,941.39
Disclosure

SEC source: 0001127602-19-028556 · form4.xml · nonDerivative · entry 1

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,077.0797

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:28 UTC
STEPAN F QUINN JRDirector · Chairman, President & CEO
GrantShare Units · Derivative 253.954 $98.90 $25,116.05
Disclosure

SEC source: 0001127602-19-028554 · form4.xml · derivative · entry 8

STEPAN F QUINN JR · CIK 0001229289 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,718.166

Underlying: Common Stock · 253.954 shares

Expires not disclosed

F5 · security: Share 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.

F6 · derivative.exercise_price: Share Units convert on a one-for-one basis into Common Stock.

F8 · price: Price reported is the price of Common Stock on the date the dividend equivalents are payable pursuant to a dividend equivalent feature of the MIP.

F7 · derivative.exercise_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

F7 · derivative.expiration_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:28 UTC
STEPAN F QUINN JRDirector · Chairman, President & CEO
GrantCommon Stock 466.071 $98.90 $46,094.42
Disclosure

SEC source: 0001127602-19-028554 · form4.xml · nonDerivative · entry 1

STEPAN F QUINN JR · CIK 0001229289 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,730.621

F1 · kind: Reflects acquisition of deferred share units under the Performance Award Deferred Compensation Plan ("Plan") pursuant to a dividend equivalent feature of the Plan.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:28 UTC
PACHOLEC FRANKVice President, Strategy
GrantCommon Stock 84.493 $98.90 $8,356.36
Disclosure

SEC source: 0001127602-19-028553 · form4.xml · nonDerivative · entry 1

PACHOLEC FRANK · CIK 0001229293 · Vice President, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,810.019

F1 · kind: Reflects acquisition of deferred share units under the Performance Award Deferred Compensation Plan ("Plan") pursuant to a dividend equivalent feature of the Plan.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:27 UTC
Mergner Arthur WVP, Supply Chain
GrantShare Units · Derivative 20.867 $98.90 $2,063.75
Disclosure

SEC source: 0001127602-19-028552 · form4.xml · derivative · entry 3

Mergner Arthur W · CIK 0001603410 · VP, Supply Chain

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,276.071

Underlying: Common Stock · 20.867 shares

Expires not disclosed

F3 · security: Share 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.

F4 · derivative.exercise_price: Share Units convert on a one-for-one basis into Common Stock.

F6 · price: Price reported is the price of Common Stock on the date the dividend equivalents are payable pursuant to a dividend equivalent feature of the MIP.

F5 · derivative.exercise_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

F5 · derivative.expiration_date: Reflects acquisition of Share Units pursuant to a dividend equivalent feature of the MIP, generally payable at end of employment, unless otherwise elected.

Read SEC document
September 13, 2019 Filed Sep 17, 2019 18:27 UTC
Mergner Arthur WVP, Supply Chain
GrantCommon Stock 38.47 $98.90 $3,804.68
Disclosure

SEC source: 0001127602-19-028552 · form4.xml · nonDerivative · entry 1

Mergner Arthur W · CIK 0001603410 · VP, Supply Chain

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,257.096

F1 · kind: Reflects acquisition of deferred share units under the Performance Award Deferred Compensation Plan ("Plan") pursuant to a dividend equivalent feature of the Plan.

Read SEC document
September 10, 2019 Filed Sep 12, 2019 18:12 UTC
PACHOLEC FRANKVice President, Strategy
SaleCommon Stock 2,383 $97.23 $231,689.56
Disclosure

SEC source: 0001127602-19-028228 · form4.xml · nonDerivative · entry 1

PACHOLEC FRANK · CIK 0001229293 · Vice President, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,725.526

F1 · price: This transaction was executed in multiple trades at prices ranging from $96.960 to $97.410 The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
September 04, 2019 Filed Sep 6, 2019 19:36 UTC
Mergner Arthur WVP, Supply Chain
SaleCommon Stock 3,232.394 $96.16 $310,827.01
Disclosure

SEC source: 0001127602-19-028040 · form4.xml · nonDerivative · entry 1

Mergner Arthur W · CIK 0001603410 · VP, Supply Chain

10b5-1 filing: Not disclosed

Ownership: Indirect · By Esop II Trust

Disclosed balance after: 3,232.293

Read SEC document
August 28, 2019 Filed Aug 29, 2019 19:00 UTC
Stefaniak DebraVP, Business Enablement
SaleCommon Stock 500 $94.75 $47,375.00
Disclosure

SEC source: 0001127602-19-027549 · form4.xml · nonDerivative · entry 1

Stefaniak Debra · CIK 0001656944 · VP, Business Enablement

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,164.196

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Appreciation Right · Derivative 1,208 $0.00 Strike: $63.11 $0.00
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · derivative · entry 10

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,208 shares

Expires 2023-02-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Option (Right to Buy) · Derivative 574 $0.00 Strike: $43.85 $0.00
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · derivative · entry 9

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 574 shares

Expires 2026-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Option (Right to Buy) · Derivative 518 $0.00 Strike: $63.11 $0.00
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · derivative · entry 8

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 518 shares

Expires 2023-02-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Disposition to issuerCommon Stock 1,208 $96.10 $116,088.80
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · nonDerivative · entry 6

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,074.9717

F3 · kind: The Stock Appreciation Rights ("SARS") were settled in shares of common stock as per the terms of the award. For reporting purposes, however, the transaction is deemed to be a simultaneous acquisition and disposition of the underlying common stock and is reflected as such in this report.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 1,208 $63.11 $76,236.88
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · nonDerivative · entry 5

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,282.9717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 574 $95.12 $54,599.45
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · nonDerivative · entry 4

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500.9717

F2 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $95.030 to $95.610, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 574 $43.85 $25,169.90
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · nonDerivative · entry 3

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,074.9717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 518 $95.11 $49,264.91
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · nonDerivative · entry 2

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,556.9717

F1 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $95.000 to $95.940, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 18:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 518 $63.11 $32,690.98
Disclosure

SEC source: 0001127602-19-026505 · form4.xml · nonDerivative · entry 1

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,074.9717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 31, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Option (Right to Buy) · Derivative 959 $0.00 Strike: $43.85 $0.00
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · derivative · entry 11

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574

Underlying: Common Stock · 959 shares

Expires 2026-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 31, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 80 $101.60 $8,127.76
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 8

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,953.9717

F7 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $101.520 to $101.655, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

Read SEC document
July 31, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 879 $100.79 $88,595.29
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 7

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,074.9717

F6 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $100.500 to $101.480, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

Read SEC document
July 31, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 959 $43.85 $42,052.15
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 6

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,033.9717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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July 31, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 959 $100.58 $96,459.10
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 5

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,074.9717

F5 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $100.500 to $101.655, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

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July 30, 2019 Filed Jul 31, 2019 21:16 UTC
Behrens Scott R.VP/GM Surfactants
SaleCommon Stock 620 $97.47 $60,430.78
Disclosure

SEC source: 0001127602-19-025548 · form4.xml · nonDerivative · entry 11

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,056.913

F6 · kind: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $97.430 to $97.540, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

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July 30, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionStock Appreciation Right · Derivative 4,598 $0.00 Strike: $43.85 $0.00
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · derivative · entry 10

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,598 shares

Expires 2026-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 30, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
SaleCommon Stock 1,500 $96.74 $145,110.00
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 4

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 476.9717

F4 · price: The price reported is a weighted average price. Shares were sold in a series of transactions within the same trading day at prices ranging from $96.460 to $97.130, inclusive. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, the issuer, or a security holder of the issuer.

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July 30, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Tax withholdingCommon Stock 1,013 $96.73 $97,987.49
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 3

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,976.9717

F3 · kind: Withholding of shares to satisfy tax liability on exercise of SARs.

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July 30, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Disposition to issuerCommon Stock 2,085 $96.73 $201,682.05
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 2

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,989.9717

F2 · kind: Deemed disposition of underlying common stock to the issuer in an amount equal to the conversion price of the SARs.

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July 30, 2019 Filed Aug 1, 2019 21:45 UTC
Moriarty Sean ThomasVP & GM Polymers
Exercise / conversionCommon Stock 4,598 $43.85 $201,622.30
Disclosure

SEC source: 0001127602-19-025709 · form4.xml · nonDerivative · entry 1

Moriarty Sean Thomas · CIK 0001716333 · VP & GM Polymers

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,074.9717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The Stock Appreciation Rights ("SARS") were settled in shares of common stock as per the terms of the award.

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July 29, 2019 Filed Jul 31, 2019 21:16 UTC
Behrens Scott R.VP/GM Surfactants
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 3,851 $0.00 Strike: $41.16 $0.00
Disclosure

SEC source: 0001127602-19-025548 · form4.xml · derivative · entry 16

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,851 shares

Expires 2025-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 29, 2019 Filed Jul 31, 2019 21:16 UTC
Behrens Scott R.VP/GM Surfactants
Exercise / conversionStock Appreciation Right · Derivative 6,262 $0.00 Strike: $43.85 $0.00
Disclosure

SEC source: 0001127602-19-025548 · form4.xml · derivative · entry 15

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,262 shares

Expires 2026-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 29, 2019 Filed Jul 31, 2019 21:16 UTC
Behrens Scott R.VP/GM Surfactants
Exercise / conversionStock Appreciation Right · Derivative 2,000 $0.00 Strike: $43.85 $0.00
Disclosure

SEC source: 0001127602-19-025548 · form4.xml · derivative · entry 14

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,262

Underlying: Common Stock · 2,000 shares

Expires 2026-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 29, 2019 Filed Jul 31, 2019 21:16 UTC
Behrens Scott R.VP/GM Surfactants
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,298 $0.00 Strike: $42.77 $0.00
Disclosure

SEC source: 0001127602-19-025548 · form4.xml · derivative · entry 13

Behrens Scott R. · CIK 0001616912 · VP/GM Surfactants

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,298 shares

Expires 2022-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.