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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 | ||||||||
Employee Stock Option (right to buy) | $ 20.5 | 03/01/2013 | A | 20,152 | (4) | 03/01/2023 | Common Stock | 20,152 | $ 0 | 20,152 | D | ||||
Performance Shares | (5) | 03/01/2013 | A | 8,049 | (5) | 03/01/2016 | Common Stock | 8,049 | $ 0 | 8,049 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Flaherty Billie S. 199 BENSON ROAD MIDDLEBURY, CT 06749 |
SVP, Gnrl. Counsel & Secretary |
/s/ Alan Schutzman by Power of Attorney | 03/05/2013 | |
**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) | Grant of restricted stock units. The restricted stock units vest in three equal installments: March 1, 2014; March 1, 2015; and March 1, 2016. |
(2) | Includes the following purchases under the Chemtura Corporation Employee Stock Purchase Plan subsequent to the date of the reporting person's most recent filing on Form 4 providing Table I information: 266 shares on September 28, 2012; 189 shares on December 31, 2012. |
(3) | Includes an aggregate of 15 supplemental shares received, subsequent to the date of the reporting person's most recent filing on Form 4 providing Table I information, in connection with the Joint Chapter 11 Plan of Chemtura Corporation, et al., dated August 4, 2010, as amended, which was confirmed by the U.S. Bankruptcy Court for the Southern District of New York on November 3, 2010. |
(4) | Grant of stock options. The stock options vest in three equal installments: March 1, 2014; March 1, 2015; and March 1, 2016. |
(5) | Grant of performance shares. Each performance share represents a contingent right to receive between 0 and 2 shares of Chemtura Corporation common stock. The number of shares reported represents the target amount. The actual number of shares to be delivered will be based on Chemtura Corporation's total shareholder return over the three-year vesting period relative to all companies in the Russell 3000 Index and could equal 200% of the target amount. |