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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (Right to Buy) | $ 11.21 | 08/20/2014 | M | 12,279 | (4) | 08/08/2021 | Common Stock | 12,279 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 13.41 | 08/20/2014 | M | 20,965 | (5) | 02/01/2022 | Common Stock | 20,965 | $ 0 | 10,482 | D | ||||
Option (Right to Buy) | $ 17.85 | 08/20/2014 | M | 8,418 | (6) | 02/06/2023 | Common Stock | 8,418 | $ 0 | 16,835 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Huntsman James H 500 HUNTSMAN WAY SALT LAKE CITY, UT 84108 |
Division President |
Sean H. Pettey, by Power of Attorney | 08/20/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The price reported in Column 4 of Table 1 on Lines 2, 4 and 6 with respect to the shares sold on August 20, 2014 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.43 to $27.45 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in Footnote (1) to this Form 4. |
(2) | The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuinary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
(3) | These shares are owned directly by Huntsman Family Holdings Company LLC and indirectly by other members of Huntsman Family Holdings Company LLC and the reporting person. The reporting person disclaims beneficial ownership of the shares held by Huntsman Family Holdings Company LLC, except to the extent of his pecuinary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
(4) | This option vested in three equal annual installments beginning August 8, 2011. |
(5) | This option vested as to 10,483 shares on February 1, 2013, 10,482 shares on February 1, 2014 and will vest with respect to the remaining 10,482 shares on February 1, 2015. |
(6) | This option vested as to 8,418 shares on February 6, 2014 and will vest with respect to 8,417 shares on February 6, 2015 and 8,418 shares on February 6, 2016. |