CMC Materials, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 72 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-13: Reporting owner ECKSTEIN BERNSTEIN H CAROL; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-09: Reporting owner ROMAN THOMAS S; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-09: Reporting owner Li David H; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-09: Reporting owner Li David H; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-13 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,268 0 owned after | $27.94 exercise price | 2016-12-13 | |
| 2016-12-09 | ROMAN THOMAS S Officer (Corporate Controller) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $32.64 exercise price | 2016-12-12 | |
| 2016-12-09 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 0 owned after | $32.64 exercise price | 2016-12-12 | |
| 2016-12-09 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 4,000 owned after | $44.10 exercise price | 2016-12-12 | |
| 2016-12-09 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,750 6,750 owned after | $46.45 exercise price | 2016-12-12 | |
| 2016-12-08 | Hui Richard Officer (VP, Global Sales) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,550 10,650 owned after | $42.37 exercise price | 2016-12-12 | |
| 2016-12-05 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,107 0 owned after | $32.64 exercise price | 2016-12-06 | |
| 2016-12-05 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,403 1,403 owned after | $44.10 exercise price | 2016-12-06 | |
| 2016-12-05 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,055 2,110 owned after | $46.45 exercise price | 2016-12-06 | |
| 2016-12-05 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,925 11,775 owned after | $42.37 exercise price | 2016-12-06 | |
| 2016-12-05 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,800 15,800 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | ROMAN THOMAS S Officer (Corporate Controller) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,300 4,300 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | Polezoes Lisa A Officer (VP, Human Resources) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,000 11,000 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | Naman Ananth Officer (VP & Chief Technology Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,600 14,600 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +79,100 79,100 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | JOHNSON WILLIAM S Officer (Executive Vice President, CFO) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,300 17,300 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | Hui Richard Officer (VP, Global Sales) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,400 13,400 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | Damashek Yumiko Officer (VP, Japan and Operations Asia) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,000 11,000 owned after | $60.27 | 2016-12-06 | |
| 2016-12-05 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,800 15,800 owned after | $60.27 | 2016-12-06 | |
| 2016-11-14 | NOGLOWS WILLIAM P Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −95,744 0 owned after | $27.94 exercise price | 2016-11-16 | |
| 2016-11-11 | Birgeneau Robert J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $35.47 exercise price | 2016-11-14 | |
| 2016-11-10 | ROMAN THOMAS S Officer (Corporate Controller) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,632 0 owned after | $27.94 exercise price | 2016-11-10 | |
| 2016-11-10 | ROMAN THOMAS S Officer (Corporate Controller) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 1,500 owned after | $32.64 exercise price | 2016-11-10 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,704 0 owned after | $22.60 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,704 0 owned after | $13.11 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,704 0 owned after | $24.97 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,704 0 owned after | $33.90 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $33.89 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $35.47 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $44.88 exercise price | 2016-11-01 | |
| 2016-10-31 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,184 816 owned after | $51.57 exercise price | 2016-11-01 | |
| 2016-10-31 | JOHNSON WILLIAM S Officer (Executive Vice President, CFO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,931 0 owned after | $28.62 exercise price | 2016-11-01 | |
| 2016-09-06 | Kelly Thomas Francis Officer (VP Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,730 14,730 owned after | $50.33 | 2016-09-08 | |
| 2016-08-25 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,524 0 owned after | $28.62 exercise price | 2016-08-25 | |
| 2016-08-25 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,279 13,268 owned after | $27.94 exercise price | 2016-08-25 | |
| 2016-08-23 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 8,000 owned after | $44.10 exercise price | 2016-08-24 | |
| 2016-08-23 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,150 9,450 owned after | $46.45 exercise price | 2016-08-24 | |
| 2016-08-23 | Birgeneau Robert J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $33.89 exercise price | 2016-08-24 | |
| 2016-08-18 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −975 4,875 owned after | $32.64 exercise price | 2016-08-19 | |
| 2016-08-15 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,344 5,850 owned after | $32.64 exercise price | 2016-08-15 | |
| 2016-08-12 | Naman Ananth Officer (VP & Chief Technology Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,097 0 owned after | $28.62 exercise price | 2016-08-15 | |
| 2016-08-12 | Naman Ananth Officer (VP & Chief Technology Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,984 5,984 owned after | $27.94 exercise price | 2016-08-15 | |
| 2016-08-12 | Naman Ananth Officer (VP & Chief Technology Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,875 9,750 owned after | $32.64 exercise price | 2016-08-15 | |
| 2016-08-11 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 14,194 owned after | $32.64 exercise price | 2016-08-15 | |
| 2016-08-09 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,311 0 owned after | $27.94 exercise price | 2016-08-10 | |
| 2016-08-09 | PIKE DANIEL J Officer (VP, Corporate Development) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,806 14,694 owned after | $32.64 exercise price | 2016-08-10 | |
| 2016-08-09 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −618 0 owned after | $27.94 exercise price | 2016-08-10 | |
| 2016-08-09 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,107 1,107 owned after | $32.64 exercise price | 2016-08-10 | |
| 2016-08-09 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,403 2,806 owned after | $44.10 exercise price | 2016-08-10 | |
| 2016-08-09 | Woodland Daniel D. Officer (VP, Marketing) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,055 3,165 owned after | $46.45 exercise price | 2016-08-10 | |
| 2016-08-05 | HILL RICHARD Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 0 owned after | $30.24 exercise price | 2016-08-08 | |
| 2016-08-04 | Birgeneau Robert J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,704 0 owned after | $33.90 exercise price | 2016-08-05 | |
| 2016-08-03 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,745 1 owned after | $28.62 exercise price | 2016-08-04 | |
| 2016-08-03 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,621 0 owned after | $27.94 exercise price | 2016-08-04 | |
| 2016-08-03 | Li David H Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,500 4,500 owned after | $32.64 exercise price | 2016-08-04 | |
| 2016-08-02 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,214 0 owned after | $21.45 exercise price | 2016-08-02 | |
| 2016-08-02 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 12,524 owned after | $28.62 exercise price | 2016-08-02 | |
| 2016-08-01 | ECKSTEIN BERNSTEIN H CAROL Officer (VP, Sec & General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,203 20,214 owned after | $21.45 exercise price | 2016-08-02 | |
| 2016-08-01 | JOHNSON WILLIAM S Officer (Executive Vice President, CFO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,672 0 owned after | $21.45 exercise price | 2016-08-02 | |
| 2016-08-01 | JOHNSON WILLIAM S Officer (Executive Vice President, CFO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,931 18,931 owned after | $28.62 exercise price | 2016-08-02 | |
| 2016-08-01 | Birgeneau Robert J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,704 0 owned after | $24.97 exercise price | 2016-08-02 | |
| 2016-08-01 | Damashek Yumiko Officer (VP, Japan and Operations Asia) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,888 0 owned after | $16.00 exercise price | 2016-08-02 | |
| 2016-08-01 | NOGLOWS WILLIAM P Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,250 46,851 owned after | $25.79 exercise price | 2016-08-02 | |
| 2016-08-01 | NOGLOWS WILLIAM P Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −108,801 0 owned after | $28.62 exercise price | 2016-08-02 | |
| 2016-03-08 | NOGLOWS WILLIAM P Director, Officer (Chairman) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | Xia Bailing Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | WILKINSON STEVEN V Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | WILD GEOFFREY Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | WHITNEY SUSAN M Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | KLEIN BARBARA A Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | HILL RICHARD Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 | |
| 2016-03-08 | Birgeneau Robert J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,638 9,638 owned after | $39.29 | 2016-03-09 |