Statement of Changes in Beneficial Ownership (4)
August 12 2020 - 4:31PM
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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3235-0287
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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
*
BERQUIST JOSEPH A |
2. Issuer Name and Ticker or Trading Symbol
QUAKER CHEMICAL CORP
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KWR
]
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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, GL SPEC BUS & CSO |
(Last)
(First)
(Middle)
ONE QUAKER PARK, 901 E. HECTOR STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/11/2020 |
(Street)
CONSHOHOCKEN, PA 19428-2380
(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 | 8/11/2020 | | M | | 2188 | A | $134.60 | 14703 | D | |
Common Stock | 8/11/2020 | | S | | 1988 | D | $201.97 (1) | 12715 | D | |
Common Stock | 8/11/2020 | | S | | 200 | D | $202.61 (2) | 12515 | D | |
Common Stock | 8/11/2020 | | M | | 1660 | A | $151.75 | 14175 | D | |
Common Stock | 8/11/2020 | | S | | 1188 | D | $201.75 (3) | 12987 | D | |
Common Stock | 8/11/2020 | | S | | 472 | D | $202.68 (4) | 12515 | D | |
Common Stock | | | | | | | | 1596 (5) | I | By 401(k) |
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) | $134.60 | 8/11/2020 | | M | | | 2188 | (6) | 2/27/2024 | Common Stock | 2188 | $0.00 | 0 | D | |
Employee Stock Option (right to buy) | $151.75 | 8/11/2020 | | M | | | 1660 | (7) | 2/26/2025 | Common Stock | 1660 | $0.00 | 830 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.42 to $202.41, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation, d/b/a "Quaker Houghton", any security holder of Quaker Houghton, 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 footnote (1) to this Form 4. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.575 to $202.635, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation, d/b/a "Quaker Houghton", any security holder of Quaker Houghton, 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 footnote (2) to this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.14 to $202.13, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation, d/b/a "Quaker Houghton", any security holder of Quaker Houghton, 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 footnote (3) to this Form 4. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.41 to $203.085, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation, d/b/a "Quaker Houghton", any security holder of Quaker Houghton, 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 footnote (4) to this Form 4. |
(5) | Information based on reporting person's Plan statement as of June 30, 2020. |
(6) | The options for this grant vested in three annual installments: 730 shares on February 27, 2018; 729 shares on February 27, 2019; and 729 shares on February 27, 2020. |
(7) | The options for this grant vest in three annual installments: 830 shares on February 26, 2019; 830 shares on February 26, 2020; and 830 shares on February 26, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BERQUIST JOSEPH A ONE QUAKER PARK 901 E. HECTOR STREET CONSHOHOCKEN, PA 19428-2380 |
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| SVP, GL SPEC BUS & CSO |
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Signatures
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Victoria K. Gehris, Attorney-in-Fact for Joseph A. Berquist | | 8/12/2020 |
**Signature of Reporting Person | Date |
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