Kraton Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-18: Reporting owner Fogarty Kevin Michael; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-08: Reporting owner Goldstein Barry J.; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-01: Reporting owner Fogarty Kevin Michael; Form 4; Security Employee Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-31: Reporting owner Conley Melinda Scissors; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-12-18 | 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 | −1,042 176,577 owned after | $14.46 exercise price | 2017-12-20 | |
| 2017-11-08 | Goldstein Barry J. Director | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,651 0 owned after | $13.51 exercise price | 2017-11-09 | |
| 2017-11-01 | 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 | −81,430 0 owned after | $13.51 exercise price | 2017-11-02 | |
| 2017-10-31 | Conley Melinda Scissors Officer (SVP & Chief HR Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,117 0 owned after | $27.98 exercise price | 2017-11-01 | |
| 2017-10-31 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $27.98 exercise price | 2017-11-01 | |
| 2017-10-31 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $28.42 exercise price | 2017-11-01 | |
| 2017-10-31 | Tremblay Stephen E. Officer (Executive Vice President & CFO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,811 0 owned after | $14.46 exercise price | 2017-11-01 | |
| 2017-10-30 | Conley Melinda Scissors Officer (SVP & Chief HR Officer) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,136 0 owned after | $23.84 exercise price | 2017-11-01 | |
| 2017-10-30 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $23.84 exercise price | 2017-11-01 | |
| 2017-10-30 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,958 16,800 owned after | $36.98 exercise price | 2017-11-01 | |
| 2017-10-30 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,800 0 owned after | $36.98 exercise price | 2017-11-01 | |
| 2017-10-30 | Tremblay Stephen E. Officer (Executive Vice President & CFO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,619 0 owned after | $13.51 exercise price | 2017-11-01 | |
| 2017-10-30 | Tremblay Stephen E. Officer (Executive Vice President & CFO) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,193 24,811 owned after | $14.46 exercise price | 2017-11-01 | |
| 2017-10-27 | Simmons James Leo Officer (SVP, General Counsel & Sec.) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,558 0 owned after | $28.42 exercise price | 2017-10-27 | |
| 2017-10-27 | Simmons James Leo Officer (SVP, General Counsel & Sec.) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,392 0 owned after | $37.11 exercise price | 2017-10-27 | |
| 2017-10-02 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,449 10,000 owned after | $28.42 exercise price | 2017-10-02 | |
| 2017-09-29 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,234 10,000 owned after | $27.98 exercise price | 2017-10-02 | |
| 2017-09-29 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Employee Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,519 3,000 owned after | $23.84 exercise price | 2017-10-02 |