Statement of Changes in Beneficial Ownership (4)
October 07 2021 - 4:06PM
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
*
Lance Ryan Michael |
2. Issuer Name and Ticker or Trading Symbol
CONOCOPHILLIPS
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COP
]
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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) Chairman and CEO |
(Last)
(First)
(Middle)
16930 PARK ROW DR. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/6/2021 |
(Street)
HOUSTON, TX 77084
(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 | 10/6/2021 | | M | | 1167 | A | (1) | 45858 | D | |
Common Stock | 10/6/2021 | | F | | 497 (2) | D | $70.95 | 45361 | D | |
Common Stock | | | | | | | | 49822 | I | By Lance Family Trust |
Common Stock | | | | | | | | 17052.47 (3) | I | By ConocoPhillips Savings 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 |
Stock Units | (4) | 10/6/2021 | | M | | | 1167 | 10/6/2021 (5) | (6) | Common Stock | 1167 | $70.95 | 1168 | D | |
Explanation of Responses: |
(1) | Each stock unit was the economic equivalent of one share of common stock and settled in shares. |
(2) | Includes Federal Tax withholding resulting from lapsing 1,167 Restricted Stock Units and 169 shares of Restricted Stock. The Human Resources and Compensation Committee ("HRCC") customarily reviews such requests to lapse restrictions after (1) the employee has reached age 55 and (2) the request has aged approximately one year. Only equity awards earned and vested prior to 2005 are subject to this review. The HRCC approved the request on October 6, 2021. |
(3) | Includes units acquired through routine dividend transactions that are exempt under rule 16a-11 and through a qualified plan that are exempt under rule 16a-3. |
(4) | The stock units represent ConocoPhillips common stock on a 1-for-1 basis. |
(5) | On October 6, 2021, the HRCC approved a request of Mr. Lance to receive 100% of his restricted stock/units in shares. The HRCC customarily reviews such requests after (1) the employee has reached age 55 and (2) the request has aged approximately one year. Only equity awards earned and vested prior to 2005 are subject to this review. |
(6) | The stock units do not have an expiration date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lance Ryan Michael 16930 PARK ROW DR. HOUSTON, TX 77084 | X |
| Chairman and CEO |
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Signatures
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Shannon B. Kinney (by Power of Attorney filed with the Commission on February 15, 2018) | | 10/7/2021 |
**Signature of Reporting Person | Date |
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