LUBRIZOL CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 46 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-18: Reporting owner BAUER JOSEPH W; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-16: Reporting owner SCHNUR ERIC R; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-13: Reporting owner SCHNUR ERIC R; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-10: Reporting owner BAUER JOSEPH W; Form 4; Security Employee Stock Option (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 |
|---|---|---|---|---|---|---|---|---|
| 2009-11-18 | BAUER JOSEPH W Officer (VP & General Counsel) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,500 0 owned after | $39.44 exercise price | 2009-11-18 | |
| 2009-11-16 | SCHNUR ERIC R Officer (Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,400 1,500 owned after | $30.18 exercise price | 2009-11-17 | |
| 2009-11-13 | SCHNUR ERIC R Officer (Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100 2,900 owned after | $30.18 exercise price | 2009-11-17 | |
| 2009-11-10 | BAUER JOSEPH W Officer (VP and General Counsel) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,500 owned after | $39.44 exercise price | 2009-11-13 | |
| 2009-11-03 | COOLEY CHARLES P Officer (SVP & Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,000 0 owned after | $34.08 exercise price | 2009-11-05 | |
| 2009-09-21 | REYNOLDS LESLIE M Officer (Corporate Secretary and Counse) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 4,000 owned after | $34.08 exercise price | 2009-09-22 | |
| 2009-09-16 | Graf Robert Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,750 0 owned after | $34.08 exercise price | 2009-09-17 | |
| 2009-09-09 | VAVRUSKA JEFFREY A Officer (Chief Tax Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $33.14 exercise price | 2009-09-11 | |
| 2009-09-09 | REYNOLDS LESLIE M Officer (Corporate Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,300 0 owned after | $30.37 exercise price | 2009-09-10 | |
| 2009-09-08 | REYNOLDS LESLIE M Officer (Corporate Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700 4,300 owned after | $30.37 exercise price | 2009-09-10 | |
| 2009-09-03 | Graf Robert Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,750 1,750 owned after | $34.08 exercise price | 2009-09-08 | |
| 2009-08-27 | NORWOOD LARRY D Officer (VP) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $30.37 exercise price | 2009-08-31 | |
| 2009-08-27 | NORWOOD LARRY D Officer (VP) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $30.37 exercise price | 2009-08-31 | |
| 2009-08-27 | NORWOOD LARRY D Officer (VP) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $34.08 exercise price | 2009-08-31 | |
| 2009-08-27 | KIRK STEPHEN F Officer (SVP & COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,100 0 owned after | $43.07 exercise price | 2009-08-31 | |
| 2009-08-27 | KIRK STEPHEN F Officer (SVP & COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,500 0 owned after | $39.44 exercise price | 2009-08-31 | |
| 2009-08-26 | SCHNUR ERIC R Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 3,000 owned after | $30.18 exercise price | 2009-08-27 | |
| 2009-08-24 | FARMER FOREST J SR Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $33.45 exercise price | 2009-08-26 | |
| 2009-08-24 | FARMER FOREST J SR Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $30.18 exercise price | 2009-08-26 | |
| 2009-08-13 | Taylor Gregory D Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $30.37 exercise price | 2009-08-13 | |
| 2009-08-11 | Taylor Gregory D Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $30.37 exercise price | 2009-08-13 | |
| 2009-08-11 | SCHNUR ERIC R Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,311 0 owned after | $30.34 exercise price | 2009-08-11 | |
| 2009-08-11 | REYNOLDS LESLIE M Officer (Corporate Counsel and Secretar) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 8,000 owned after | $34.08 exercise price | 2009-08-11 | |
| 2009-08-07 | Graf Robert Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $30.34 exercise price | 2009-08-11 | |
| 2009-08-04 | LEWIS GREGORY R Officer (Vice President) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $34.08 exercise price | 2009-08-05 | |
| 2009-08-04 | HARNETT GORDON D Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $25.72 exercise price | 2009-08-05 | |
| 2009-08-04 | SCHNUR ERIC R Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −689 1,311 owned after | $30.34 exercise price | 2009-08-05 | |
| 2009-08-04 | LEWIS GREGORY R Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $34.08 exercise price | 2009-08-05 | |
| 2009-08-03 | COOLEY CHARLES P Officer (SVP & Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,000 0 owned after | $30.37 exercise price | 2009-08-05 | |
| 2009-08-03 | COOLEY CHARLES P Officer (SVP & Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,000 0 owned after | $30.37 exercise price | 2009-08-05 | |
| 2009-08-03 | LEWIS GREGORY R Officer (Vice President) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $30.34 exercise price | 2009-08-05 | |
| 2009-08-03 | BAUER JOSEPH W Officer (VP & General Counsel) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,500 0 owned after | $34.08 exercise price | 2009-08-05 | |
| 2009-08-03 | LEWIS GREGORY R Officer (Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $30.34 exercise price | 2009-08-05 | |
| 2009-02-23 | NORWOOD LARRY D Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,400 13,400 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | MEISTER MARK W Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,500 22,500 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | Taylor Gregory D Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | LEWIS GREGORY R Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | KIRK STEPHEN F Officer (SVP & Chief Operating Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +46,800 46,800 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | Sheets Daniel L Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,700 13,700 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | HAMBRICK JAMES L Officer (Chairman, Pres. & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +204,800 204,800 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | SCHNUR ERIC R Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,700 13,700 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | Graf Robert Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | Saunier Patrick H Officer (Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,000 14,000 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | COOLEY CHARLES P Officer (SVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,100 49,100 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-23 | BAUER JOSEPH W Officer (VP & General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,600 28,600 owned after | $27.77 exercise price | 2009-02-25 | |
| 2009-02-09 | HARNETT GORDON D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $26.84 exercise price | 2009-02-11 |