UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Performance Shares | Â (1) | Â (1) | Common Stock | 1,404 | $ 0 | D | Â |
Performance Shares | Â (2) | Â (2) | Common Stock | 951 | $ 0 | D | Â |
Performance Shares | Â (3) | Â (3) | Common Stock | 808 | $ 0 | D | Â |
Performance Shares | Â (3) | Â (3) | Common Stock | 1,718 | $ 0 | D | Â |
Employee Stock Option (Right to Buy) | 02/14/2014 | 02/13/2022 | Common Stock | 1,298 | $ 42.765 | D | Â |
Employee Stock Option (Right to Buy) | 02/19/2015 | 02/18/2023 | Common Stock | 777 | $ 63.11 | D | Â |
Employee Stock Option (Right to Buy) | 02/18/2016 | 02/17/2024 | Common Stock | 787 | $ 61.91 | D | Â |
Employee Stock Option (Right to Buy) | 04/29/2016 | 04/28/2024 | Common Stock | 1,665 | $ 58.22 | D | Â |
Stock Appreciation Right | 02/19/2015 | 02/18/2023 | Common Stock | 1,813 | $ 63.11 | D | Â |
Stock Appreciation Right | 02/18/2016 | 02/17/2024 | Common Stock | 2,360 | $ 61.91 | D | Â |
Stock Appreciation Right | 04/29/2016 | 04/28/2024 | Common Stock | 4,996 | $ 58.22 | D | Â |
Share Units (4) | Â (4) | Â (4) | Common Stock | 8,361.394 | $ (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Behrens Scott R. 22 W. FRONTAGE ROAD NORTHFIELD, IL 60093 |
 |  |  VP/GM Surfactants |  |
Scott R. Behrens | 09/08/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Each performance share represents a contingent right to receive 1 share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2014. |
(2) | Each performance share represents a contingent right to receive 1 share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2015. |
(3) | Each performance share represents a contingent right to receive 1 share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2016. |
(4) | Share Units are acquired under the Management Incentive Plan Amended and Restated as of January 1, 2010 ("MIP"), a nonqualified deferred compensation plan which allows MIP participants to elect to defer all or a portion of their deferred compensation into accounts pursuant to MIP provisions. |