Kraton Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 47 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-09-20: Reporting owner Burke Damian; Form 3; Security Employee Options (Right to Buy); Transaction Holding.
- 2011-08-29: Reporting owner Clark Jason; Form 4; Security Employee Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-07-01: Reporting owner DEMETRIOU STEVEN J.; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-07-01: Reporting owner DEMETRIOU STEVEN J.; Form 4; Security Employee 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-09-20 holding as of filing | Burke Damian Officer (VP - Corporate Development) | 3 | Employee Options (Right to Buy) Derivative · Direct | Holding | $22.79 exercise price | 2011-09-20 | ||
| 2011-08-29 | Clark Jason Officer (Chief Accounting Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,521 7,521 owned after | $22.46 exercise price | 2011-08-31 | |
| 2011-07-01 | DEMETRIOU STEVEN J. Director | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,850 0 owned after | $13.51 exercise price | 2011-07-06 | |
| 2011-07-01 | DEMETRIOU STEVEN J. Director | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,850 0 owned after | $13.51 exercise price | 2011-07-06 | |
| 2011-06-20 | Duffy Stephen W. Officer (General Counsel, VP & Sec) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,670 0 owned after | $13.51 exercise price | 2011-06-22 | |
| 2011-06-20 | Duffy Stephen W. Officer (General Counsel, VP & Sec) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,700 14,802 owned after | $14.46 exercise price | 2011-06-22 | |
| 2011-06-20 | Tremblay Stephen E. Officer (CFO and Vice President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 12,619 owned after | $13.51 exercise price | 2011-06-22 | |
| 2011-06-02 holding as of filing | Abrey Thomas A Officer (VP-HSES) | 3 | Employee Options (Right to Buy) Derivative · Direct | Holding | $40.54 exercise price | 2011-06-02 | ||
| 2011-05-02 | Freund Lothar Officer (VP, Technology) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 2,404 owned after | $13.51 exercise price | 2011-05-03 | |
| 2011-04-25 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,541 6,167 owned after | $13.51 exercise price | 2011-04-26 | |
| 2011-04-25 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −375 6,000 owned after | $13.90 exercise price | 2011-04-26 | |
| 2011-04-21 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,084 7,708 owned after | $13.51 exercise price | 2011-04-25 | |
| 2011-04-21 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −750 6,375 owned after | $13.90 exercise price | 2011-04-25 | |
| 2011-04-21 | Ott Richard A. Officer (VP, HR & Communications) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,008 0 owned after | $13.51 exercise price | 2011-04-25 | |
| 2011-04-06 | Freund Lothar Officer (VP, Technology) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 4,404 owned after | $13.51 exercise price | 2011-04-07 | |
| 2011-04-06 | Ott Richard A. Officer (VP, HR & Communications) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,304 9,008 owned after | $13.51 exercise price | 2011-04-07 | |
| 2011-04-05 | Lee G Scott Officer (Vice President of Operations) | 4/A | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,092 10,792 owned after | $13.51 exercise price | 2011-04-25 | |
| 2011-04-05 | Ott Richard A. Officer (VP, HR & Communications) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,021 11,312 owned after | $13.51 exercise price | 2011-04-07 | |
| 2011-04-05 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,092 6,033 owned after | $13.90 exercise price | 2011-04-07 | |
| 2011-03-31 | Ott Richard A. Officer (VP, HR & Communications) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,675 18,333 owned after | $13.51 exercise price | 2011-04-01 | |
| 2011-03-31 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −375 7,125 owned after | $13.90 exercise price | 2011-04-01 | |
| 2011-03-31 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −450 11,884 owned after | $13.51 exercise price | 2011-04-01 | |
| 2011-03-14 | Jung Holger R. Officer (VP of Sales and Marketing) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,758 19,758 owned after | $36.98 | 2011-03-16 | |
| 2011-03-07 | Tremblay Stephen E. Officer (CFO and Vice President) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,259 22,259 owned after | $37.11 | 2011-03-09 | |
| 2011-03-07 | Ott Richard A. Officer (VP, HR & Communications) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,860 12,860 owned after | $37.11 | 2011-03-09 | |
| 2011-03-07 | Lee G Scott Officer (Vice President of Operations) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,323 16,323 owned after | $37.11 | 2011-03-09 | |
| 2011-03-07 | Freund Lothar Officer (VP, Technology) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,291 19,291 owned after | $37.11 | 2011-03-09 | |
| 2011-03-07 | Frazier Larry R. Officer (Chief Information Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,893 9,893 owned after | $37.11 | 2011-03-09 | |
| 2011-03-07 | Duffy Stephen W. Officer (General Counsel, VP & Sec) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,871 11,871 owned after | $37.11 | 2011-03-09 | |
| 2011-03-07 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,098 83,098 owned after | $37.11 | 2011-03-09 | |
| 2011-02-01 holding as of filing | Lee G Scott Officer (Vice President of Operations) | 3 | Employee Options (Right to Buy) Derivative · Direct | Holding | $13.51 exercise price | 2011-02-01 | ||
| 2011-02-01 holding as of filing | Lee G Scott Officer (Vice President of Operations) | 3 | Employee Options (Right to Buy) Derivative · Direct | Holding | $13.90 exercise price | 2011-02-01 | ||
| 2011-01-18 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 81,430 owned after | $13.51 exercise price | 2011-01-19 | |
| 2011-01-14 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 106,430 owned after | $13.51 exercise price | 2011-01-18 | |
| 2011-01-13 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,902 121,430 owned after | $13.51 exercise price | 2011-01-14 | |
| 2011-01-13 | Bradley David A. Officer (Chief Operating Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,746 0 owned after | $13.51 exercise price | 2011-01-14 | |
| 2011-01-13 | Bradley David A. Officer (Chief Operating Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,089 72,969 owned after | $13.51 exercise price | 2011-01-14 | |
| 2011-01-12 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,221 150,332 owned after | $13.51 exercise price | 2011-01-14 | |
| 2011-01-12 | Bradley David A. Officer (Chief Operating Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,441 0 owned after | $13.51 exercise price | 2011-01-14 | |
| 2011-01-12 | Bradley David A. Officer (Chief Operating Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,007 18,746 owned after | $13.51 exercise price | 2011-01-14 | |
| 2011-01-07 | Tremblay Stephen E. Officer (CFO and Vice President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,527 62,619 owned after | $13.51 exercise price | 2011-01-10 | |
| 2011-01-06 | Tremblay Stephen E. Officer (CFO and Vice President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −34,554 87,146 owned after | $13.51 exercise price | 2011-01-07 | |
| 2011-01-05 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,918 166,553 owned after | $13.51 exercise price | 2011-01-06 | |
| 2011-01-05 | Tremblay Stephen E. Officer (CFO and Vice President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,919 121,700 owned after | $13.51 exercise price | 2011-01-06 | |
| 2011-01-04 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,145 187,471 owned after | $13.51 exercise price | 2011-01-05 | |
| 2011-01-03 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,387 189,616 owned after | $13.51 exercise price | 2011-01-04 | |
| 2011-01-03 | Bradley David A. Officer (Chief Operating Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,818 7,441 owned after | $13.51 exercise price | 2011-01-04 |