Statement of Changes in Beneficial Ownership (4)
June 02 2021 - 10:23AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Stuckey Perry |
2. Issuer Name and Ticker or Trading Symbol
EASTMAN CHEMICAL CO
[
EMN
]
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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) SVP, Chf HR Ofcr |
(Last)
(First)
(Middle)
200 SOUTH WILCOX |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2021 |
(Street)
KINGSPORT, TN 37660
(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 | 6/1/2021 | | M(1) | | 6305 | A | $65.16 | 42701 | D | |
Common Stock | 6/1/2021 | | S(1) | | 6305 | D | $130.03 (2) | 36396 | D | |
Common Stock | | | | | | | | 1043 | I | By ESOP |
Common Stock | | | | | | | | 922 (3) | I | By 401(k) Plan |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $65.16 | 6/1/2021 | | M | | | 6305 | 2/26/2019 | 2/25/2026 | Common Stock | 6305 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The option exercise and stock sale reported in this Form 4 was effected pursusant to a Rule 10b5-1 trading plan entered into by the reporting person and his broker on February 12, 2021. |
(2) | Average weighted sale price for shares disposed of in the reported transaction. The shares were sold in multiple broker's transactions at various prices per share ranging from $130.00 to $130.05. The reporting person undertakes to provide to the issuer, any stockholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2). |
(3) | Includes 1 share acquired since May 17, 2021 resulting from automatic reinvestment of dividends. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stuckey Perry 200 SOUTH WILCOX KINGSPORT, TN 37660 |
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| SVP, Chf HR Ofcr |
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Signatures
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Brian L. Henry, by Power of Attorney | | 6/2/2021 |
**Signature of Reporting Person | Date |
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