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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 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) | $ 2.59 | 06/12/2018 | M | 400,000 | (4) | 03/02/2019 | Common Stock | 400,000 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 13.5 | 06/12/2018 | M | 150,215 | (5) | 02/23/2020 | Common Stock | 150,215 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 17.59 | 06/12/2018 | M | 216,920 | (6) | 02/02/2021 | Common Stock | 216,920 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 13.41 | 06/12/2018 | M | 393,082 | (7) | 02/01/2022 | Common Stock | 393,082 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 17.85 | 06/12/2018 | M | 378,788 | (8) | 02/06/2023 | Common Stock | 378,788 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 8.86 | 06/12/2018 | M | 482,994 | (9) | 02/03/2026 | Common Stock | 482,994 | $ 0 | 241,496 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Huntsman Peter R 10003 WOODLOCH FOREST DRIVE THE WOODLANDS, TX 77380 |
X | Chairman, President, CEO |
/s/ Rachel K. Muir, by Power of Attorney | 06/14/2018 | |
**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) | Represents a "net exercise" of outstanding stock options. These shares were withheld by Huntsman Corporation for payment of the exercise price and applicable taxes, based on the market price of Huntsman Corporation's common stock at the time of the option exercise on June 12, 2018 ranging between $32.69 and $32.72 per share. |
(2) | Represents shares held by spouse as Utah Uniform Transfer to Minors Act custodian for eight of the reporting person's children. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose |
(3) | Represents shares held by spouse as Uniform Gifts to Minors Act custodian for six of the reporting person's children. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
(4) | These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning March 2, 2010. |
(5) | These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 23, 2011. |
(6) | These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 2, 2012. |
(7) | These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 1, 2013. |
(8) | These options granted under the Huntsman Stock incentive Plan vested in three equal annual installments beginning February 6, 2014. |
(9) | These options granted under the Huntsman Stock incentive Plan vested as to 241,497 shares on February 3, 2017, 241,497 shares on February 3, 2018 and will vest as to 241,496 shares on February 3, 2019. |