Kraton Corp Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 82 rows, 82 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-03-15: Reporting owner Atanasov Atanas H; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-04: Reporting owner Simmons James Leo; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-03-04: Reporting owner Pesgens Suzanna; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-03-04: Reporting owner Mhetar Vijay; Form 4; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2022-03-15 | Atanasov Atanas H Officer (EVP, CFO and Treasurer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,576 0 owned after | no price filed | 2022-03-15 | |
| 2022-03-04 | Simmons James Leo Officer (SVP, General Counsel & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,397 0 owned after | $0.00 | 2022-03-07 | |
| 2022-03-04 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −388 0 owned after | $0.00 | 2022-03-07 | |
| 2022-03-04 | Mhetar Vijay Officer (SVP, Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,164 0 owned after | $0.00 | 2022-03-07 | |
| 2022-03-04 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,739 0 owned after | $0.00 | 2022-03-07 | |
| 2022-03-04 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,092 0 owned after | $0.00 | 2022-03-07 | |
| 2022-03-04 | Conley Melinda Scissors Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,009 0 owned after | $0.00 | 2022-03-07 | |
| 2022-03-04 | Boldrini Marcello C Officer (SVP & Chemical Seg. President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,397 0 owned after | $0.00 | 2022-03-07 | |
| 2021-05-06 | Atanasov Atanas H Officer (EVP, CFO and Treasurer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,576 2,576 owned after | $0.00 | 2021-05-07 | |
| 2021-03-04 | Simmons James Leo Officer (SVP, General Counsel & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,397 1,397 owned after | $0.00 | 2021-03-05 | |
| 2021-03-04 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −388 388 owned after | $0.00 | 2021-03-05 | |
| 2021-03-04 | Mhetar Vijay Officer (SVP, Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,165 1,164 owned after | $0.00 | 2021-03-05 | |
| 2021-03-04 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,739 1,739 owned after | $0.00 | 2021-03-05 | |
| 2021-03-04 | Gingrich Christopher Officer (Chief Accounting Officer) | 4 | Restricted Stock Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −162 3,822 owned after | $36.72 | 2021-03-05 | |
| 2021-03-04 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,093 10,092 owned after | $0.00 | 2021-03-05 | |
| 2021-03-04 | Conley Melinda Scissors Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,009 1,009 owned after | $0.00 | 2021-03-05 | |
| 2021-03-04 | Boldrini Marcello C Officer (SVP & Chemical Seg. President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,397 1,397 owned after | $0.00 | 2021-03-05 | |
| 2021-02-23 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −924 776 owned after | $0.00 | 2021-02-25 | |
| 2020-12-16 holding as of filing | Gingrich Christopher Officer (Chief Accounting Officer) | 3 | Restricted Stock Units Non-derivative · Direct | Holding | 838 owned after | no price filed | 2020-12-16 | |
| 2020-12-15 | Gingrich Christopher Officer (Chief Accounting Officer) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,839 2,677 owned after | $0.00 | 2020-12-16 | |
| 2020-05-06 | Atanasov Atanas H Officer (SVP, CFO and Treasurer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,398 5,152 owned after | $0.00 | 2020-05-13 | |
| 2020-03-04 | Simmons James Leo Officer (SVP, General Counsel & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,398 2,794 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Russell Chris H. Officer (VP, Chief Accounting Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −466 931 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −389 1,700 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Mhetar Vijay Officer (SVP, Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,165 2,329 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,739 3,478 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Haddad Jose Fernando Cherubini Officer (SVP, Global Operations) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −932 1,863 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,093 20,185 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Conley Melinda Scissors Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,010 2,018 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Botros Heba Officer (Vice President, Corp. Dev.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −621 1,242 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Boldrini Marcello C Officer (SVP & Chemical Seg. President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,398 2,794 owned after | $0.00 | 2020-03-06 | |
| 2020-03-02 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,493 2,089 owned after | $0.00 | 2020-03-04 | |
| 2019-05-06 | Atanasov Atanas H Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,550 18,550 owned after | $0.00 | 2019-05-07 | |
| 2019-03-04 | Simmons James Leo Officer (SVP, General Counsel & Sec.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,192 4,192 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Russell Chris H. Officer (Interim CFO, and CAO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,397 1,397 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,165 3,582 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Mhetar Vijay Officer (SVP, Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,494 3,494 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Jung Holger R. Officer (SVP & Polymer Seg. President) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,217 5,217 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Haddad Jose Fernando Cherubini Officer (SVP, Global Operations) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,795 2,795 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,278 30,278 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Conley Melinda Scissors Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,028 3,028 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Botros Heba Officer (Vice President, Corp. Dev.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,863 1,863 owned after | $0.00 | 2019-03-06 | |
| 2019-03-04 | Boldrini Marcello C Officer (SVP & Chemical Seg. President) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,192 4,192 owned after | $0.00 | 2019-03-06 | |
| 2019-01-06 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,160 2,417 owned after | $0.00 | 2019-01-08 | |
| 2018-02-23 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +924 8,577 owned after | $0.00 | 2018-02-26 | |
| 2017-03-02 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,493 7,653 owned after | $0.00 | 2017-03-03 | |
| 2016-01-06 | Santangelo Mark Officer (VP, Operations & Supply Chain) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,266 10,266 owned after | $0.00 | 2016-02-09 | |
| 2016-01-06 | Santangelo Mark Officer (VP, Operations & Supply Chain) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,160 6,160 owned after | $0.00 | 2016-02-09 | |
| 2016-01-06 | Pesgens Suzanna Officer (VP, Chief Procurement Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,160 6,160 owned after | $0.00 | 2016-02-09 | |
| 2015-02-11 | Freund Lothar Officer (Vice President) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,434 3,434 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Burke Damian Officer (VP - Corporate Development) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,557 1,557 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Fogarty Kevin Michael Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,887 16,887 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Conley Melinda Scissors Officer (VP - Human Resources) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,876 1,876 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Lee G Scott Officer (Vice President of Operations) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,177 2,177 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Tremblay Stephen E. Officer (CFO and Vice President) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,991 4,991 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Jung Holger R. Officer (VP of Sales and Marketing) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,753 3,753 owned after | $0.00 | 2015-02-13 | |
| 2009-12-17 holding as of filing | JPMP CAPITAL CORP | JPMP GLOBAL INVESTORS L P | JPMP MASTER FUND MANAGER L P 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 103,707,692 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 103,707,692 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 58,482,349 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 14,019,111 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 2,154,089 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 6,002,947 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 787,097 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 1,035,281 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 2,242,778 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 2,503,843 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 15,504,569 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | JP MORGAN PARTNERS BHCA LP | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LP | JP MORGAN PARTNERS GLOBAL INVESTORS LP | JPMP Global Fund/Kraton/Selldown, L.P. | JPMP Global Fund/Kraton, L.P. | JPMP Global Fund/Kraton A, L.P. | JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN II L P | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP | J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP | JPMP Global Fund/Kraton/Selldow II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Direct | Holding | 975,628 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | Fogarty Kevin Michael Director, Officer (President and CEO) | 3 | Membership Units Non-derivative · Indirect · See Explanation of Responses | Holding | 600,000 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | Fogarty Kevin Michael Director, Officer (President and CEO) | 3 | Profits Units Non-derivative · Indirect · See Explanation of Responses | Holding | 300,000 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | Fogarty Kevin Michael Director, Officer (President and CEO) | 3 | Notional Units (right to buy) Derivative · Direct | Holding | no price filed | 2009-12-17 | ||
| 2009-12-17 holding as of filing | Bradley David A. Officer (Chief Operating Officer) | 3 | Membership Units Non-derivative · Indirect · See Explanation of Responses | Holding | 650,000 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | Bradley David A. Officer (Chief Operating Officer) | 3 | Profits Units Non-derivative · Indirect · See Explanation of Responses | Holding | 125,000 owned after | no price filed | 2009-12-17 | |
| 2009-12-17 holding as of filing | Bradley David A. Officer (Chief Operating Officer) | 3 | Notional Units (right to buy) Derivative · Direct | Holding | no price filed | 2009-12-17 | ||
| 2009-12-16 holding as of filing | DEMETRIOU STEVEN J Director | 3 | Membership Units Non-derivative · Indirect · See Explanation of Responses | Holding | 150,000 owned after | no price filed | 2009-12-16 | |
| 2009-12-16 holding as of filing | SMITH DAN F Director | 3 | Membership Units Non-derivative · Indirect · See Explanation of Responses | Holding | 200,000 owned after | no price filed | 2009-12-16 | |
| 2009-12-16 holding as of filing | WALSH TIMOTHY Director | 3 | Membership Units Non-derivative · Indirect · See Footnotes | Holding | 103,707,692 owned after | no price filed | 2009-12-16 | |
| 2009-12-16 holding as of filing | O BRIEN KEVIN Director | 3 | Membership Units Non-derivative · Indirect · See Footnotes | Holding | 103,707,692 owned after | no price filed | 2009-12-16 | |
| 2009-12-16 holding as of filing | Ott Richard A. Officer (Vice President) | 3 | Membership Units Non-derivative · Indirect · See Explanation of Responses | Holding | 150,000 owned after | no price filed | 2009-12-16 | |
| 2009-12-16 holding as of filing | Ott Richard A. Officer (Vice President) | 3 | Profits Units Non-derivative · Indirect · See Explanation of Responses | Holding | 350,000 owned after | no price filed | 2009-12-16 | |
| 2009-12-16 holding as of filing | Ott Richard A. Officer (Vice President) | 3 | Notional Units (right to buy) Derivative · Direct | Holding | no price filed | 2009-12-16 | ||
| 2009-12-16 holding as of filing | TPG Advisors IV, Inc. | COULTER JAMES G | TPG ADVISORS III INC | BONDERMAN DAVID 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Membership Units Non-derivative · Indirect · See Explanation of Responses | Holding | 155,561,538 owned after | no price filed | 2009-12-16 |