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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fogarty Kevin Michael C/O KRATON CORPORATION 15710 JOHN F. KENNEDY BLVD, SUITE 300 HOUSTON, TX 77032 |
X | President and CEO |
/s/ James L. Simmons As Attorney-in-Fact for Kevin Fogarty | 03/06/2017 | |
**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 award shall vest in full on the third anniversary of the grant date, being March 2, 2020, subject to the Reporting Person being continuously employed by the Issuer through such vesting date. |
(2) | Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 32,166 restricted stock awards granted to the Reporting Person on March 3, 2014. |
(3) | Represents the vesting of 52.5% of the total 32,166 restricted stock performance units, granted on March 3, 2014. |
(4) | Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 16,887 restricted stock performance units granted to the Reporting Person on March 3, 2014. |