Amended Statement of Changes in Beneficial Ownership (4/a)
February 23 2021 - 2:50PM
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).
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
*
CHASE PETER R |
2. Issuer Name and Ticker or Trading Symbol
CHASE CORP
[
CCF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman |
(Last)
(First)
(Middle)
295 UNIVERSITY AVE. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2019 |
(Street)
WESTWOOD, MA 02090
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
4/30/2019 |
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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Chase Corporation Common Stock | 2/25/2019 | | G |
V
| 308 | D | $0 | 158097 (8)(7) | D | |
Chase Corporation Common Stock | 2/26/2019 | | G |
V
| 154 | D | $0 | 157173 (9) | D | |
Chase Corporation Common Stock | 2/27/2019 | | G |
V
| 616 | D | $0 | 134952 (10) | D | |
Chase Corporation Common Stock | 4/17/2019 | | G |
V
| 18000 | D | $0 | 108505 (10) | D | |
Chase Corporation Common Stock | 4/25/2019 | | G |
V
| 9000 | D | $0 | 99505 | D | |
Chase Corporation Common Stock | | | | | | | | 300913 (1) | I | Peter R. Chase Insurance Trust |
Chase Corporation Common Stock | | | | | | | | 241195 (2) | I | Peter R. Chase 2018 Qualified Annuity Trust |
Chase Corporation Common Stock | | | | | | | | 80612 (3) | I | Peter R. Chase 2019 Qualified Annuity Trust #1 |
Chase Corporation Common Stock | | | | | | | | 193922 (4) | I | Peter R. Chase 2019 Qualified Annuity Trust #2 |
Chase Corporation Common Stock | | | | | | | | 30052 (5) | I | Peter R. Chase Trust |
Chase Corporation Common Stock | | | | | | | | 1470 (6) | I | Chase 2015 Irrevocable Trust |
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 |
Explanation of Responses: |
(1) | Represents shares held by the Peter R. Chase Insurance Trust. |
(2) | Represents shares held by the Peter R. Chase 2018 Qualified Annuity Trust subsequent to exempt transfer from Mr. Chase. The Peter R. Chase 2018 Qualified Annuity Trust had previously been identified as "Peter R. Chase 2018 Annuity Trust-RJ" and "Peter R. Chase 2018 Qualified Annuity Trust #2 - ML". |
(3) | Reflects shares held by the Peter R. Chase 2019 Qualified Annuity Trust #1 subsequent to exempt transfer from Mr. Chase. |
(4) | Reflects shares held by the Peter R. Chase 2019 Qualified Annuity Trust #2 subsequent to exempt transfer from Mr. Chase. |
(5) | Represents shares held by the Peter R. Chase Trust subsequent to exempt transfer from Mr. Chase. |
(6) | Represents shares held by the Chase 2015 Irrevocable Trust subsequent to exempt transfer from Mr. Chase. |
(7) | The original Form 4 is being amended to remove a gift of 2,200 shares from the original filing that was inadvertently reported twice; the gift was made and correctly reported as occurring on February 15, 2017. The error was also reflected in total ownership reported in subsequently filed Form 4s. |
(8) | Reflects exempt transfers (i) from Mr. Chase to Peter R. Chase 2019 Qualified Annuity Trust #1, and (ii) to Mr. Chase from Peter R. Chase 2016 Qualified Annuity Trust #2 and Peter R. Chase 2018 Qualified Annuity Trust. Also reflects exempt transfers from Mr. Chase to Peter R. Chase 2019 Qualified Annuity Trust #2. |
(9) | Reflects exempt transfer from Mr. Chase to Chase 2015 Irrevocable Trust. |
(10) | Reflects exempt transfers from Mr. Chase to Peter R. Chase Trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHASE PETER R 295 UNIVERSITY AVE. WESTWOOD, MA 02090 | X |
| Executive Chairman |
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Signatures
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Marlene Torio by power of attorney | | 2/23/2021 |
**Signature of Reporting Person | Date |
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