Kraton Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-09-25: Reporting owner Duffy Stephen W.; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-08-22: Reporting owner Freund Lothar; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-08-21: Reporting owner Freund Lothar; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-08-21: Reporting owner Freund Lothar; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-09-25 | 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 11,102 owned after | $14.46 exercise price | 2012-09-26 | |
| 2012-08-22 | 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 | −6,050 23,809 owned after | $13.51 exercise price | 2012-08-23 | |
| 2012-08-21 | 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 | −2,404 0 owned after | $13.51 exercise price | 2012-08-23 | |
| 2012-08-21 | 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 | −1,546 29,859 owned after | $13.51 exercise price | 2012-08-23 | |
| 2012-05-03 | Conley Melinda Scissors Officer (VP - Human Resources) | 4/A | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,002 16,002 owned after | $24.14 exercise price | 2012-05-14 | |
| 2012-05-03 | Scissors Conley Melinda Officer (VP - Human Resources) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,002 16,002 owned after | $24.14 exercise price | 2012-05-07 | |
| 2012-03-05 | 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) | +15,813 15,813 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | Burke Damian Officer (VP - Corporate Development) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,178 13,178 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | 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) | +17,131 17,131 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | Abrey Thomas A Officer (VP-HSES) | 4 | Employee Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,752 9,752 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | 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) | +18,449 18,449 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | 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) | +4,970 4,970 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | 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) | +20,821 20,821 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | 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) | +15,813 15,813 owned after | $28.42 exercise price | 2012-03-07 | |
| 2012-03-05 | 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) | +77,485 77,485 owned after | $28.42 exercise price | 2012-03-07 |