- Statement of Changes in Beneficial Ownership (4)
October 19 2011 - 1:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
OCONNOR SARAH A
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2. Issuer Name
and
Ticker or Trading Symbol
ARCH CHEMICALS INC
[
ARJ
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Sr VP Strategic Planning & CLO
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(Last)
(First)
(Middle)
C/O ARCH CHEMICALS, INC., 501 MERRITT 7
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/17/2011
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(Street)
NORWALK, CT 06851
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock $1 Par Value
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10/17/2011
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U
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21668.76
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D
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$47.2
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0
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D
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Common Stock $1 Par Value
(1)
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8990.33
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I
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By CEOP Trustee
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock Units
(2)
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(3)
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10/17/2011
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D
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4682.35
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10/17/2011
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10/17/2011
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Common Stock
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4682.35
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(3)
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0
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D
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Restricted Stock Units
(4)
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(3)
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10/17/2011
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D
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3980
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12/31/2014
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12/31/2014
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Common Stock
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3980
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(3)
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0
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D
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Restricted Stock Units
(4)
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(3)
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10/17/2011
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D
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2871
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12/31/2015
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12/31/2015
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Common Stock
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2871
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(3)
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0
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D
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Employee Stock Option (Right to Buy)
(5)
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$20.85
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10/17/2011
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D
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7000
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1/24/2003
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1/23/2012
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Common Stock
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7000
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$47.2
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0
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D
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Employee Stock Option (Right to Buy)
(5)
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$18.52
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10/17/2011
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D
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6500
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1/30/2004
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1/29/2013
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Common Stock
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6500
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$47.2
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0
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D
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Explanation of Responses:
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(
1)
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The figure shown represents shares of Arch Common Stock acquired on a periodic basis under the Contributing Employee Ownership Plan (CEOP), a tax conditioned plan, in transactions exempt under Rule 16b-3 and held as of 10/17/2011 in the Arch Common Stock Fund of the CEOP, and is based on information provided by the Plan Administrator .
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(
2)
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The figure shown represents phantom shares of Arch Common Stock acquired on a periodic basis under the Supplemental Contributing Employee Ownership Plan (SCEOP), a tax conditioned plan, in transactions exempt under Rule 16b-3 and held as of 10/17/2011 in the Arch Common Stock Fund of the SCEOP, and is based on information provided by the Plan Administrator . Pursuant to the terms of the plan and Compensation Committee approval, upon a Change-in-Control (CIC), these phantom shares were converted into cash at the tender offer price of $47.20 per unit and remain invested in the plan until termination of employment. A CIC occured on 10/17/2011.
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(
3)
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Each unit is the economic equivalent of one share of common stock.
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(
4)
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Restricted Stock Units were granted on 2/26/2010 and 2/28/2011 under the Arch Chemicals, Inc. 2009 Long Term Incentive Plan and pursuant to such plan, and Compensation Committee approval, were paid out in cash upon CIC of Arch Chemicals at the tender offer price of $47.20 per unit and extinguished.
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(
5)
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Options were granted on 1/24/2002 and 1/30/2003 under the Arch Chemicals, Inc. 1999 Long Term Incentive Plan. In accordance with the plan and Compensation Committee approval, upon a CIC, the spread between the option exercise price and $47.20 was paid in cash to the holder and the options were cancelled.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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OCONNOR SARAH A
C/O ARCH CHEMICALS, INC.
501 MERRITT 7
NORWALK, CT 06851
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Sr VP Strategic Planning & CLO
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Signatures
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Joseph P. Lacerenza, Attorney in Fact
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10/19/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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