Current Report Filing (8-k)
April 09 2018 - 2:45PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of report (Date of earliest event reported): April 4, 2018
PolyOne Corporation
(Exact Name of Registrant as Specified in Its Charter)
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Ohio
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1-16091
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34-1730488
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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PolyOne Center
33587 Walker Road
Avon
Lake, Ohio 44012
(Address of Principal Executive Offices) (Zip Code)
Registrants telephone number, including area code:
(440) 930-1000
Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 5.04. Temporary Suspension of Trading Under Registrants Employee Benefit Plans.
PolyOne Corporation (the Company) is changing the recordkeeper for the PolyOne Corporation Retirement Savings Plan (the
401(k) Plan) from John Hancock Retirement Plan Services to Fidelity Workplace Services LLC.
In connection with this action, a blackout
period under the 401(k) Plan will occur from 4:00 p.m. Eastern Time on May 4, 2018 through the week of June 10, 2018 (the Blackout Period). During the Blackout Period, 401(k) Plan participants will be unable to change
investments in their individual accounts or obtain loans or distributions from the 401(k) Plan.
On April 9, 2018, the Company sent a notice (the
Insider Notice) to its directors and executive officers informing them of the Blackout Period. The Insider Notice was required pursuant to Section 306 of the Sarbanes-Oxley Act of 2002 and Section 104 of Regulation BTR under
the Securities Exchange Act of 1934.
During the Blackout Period and for a period of two years after the ending date of the Blackout Period, shareholders
or other interested parties may obtain, without charge, information about the beginning date and the actual ending date of the Blackout Period by contacting:
Marla Bartolotta
33587 Walker Road
Avon Lake, Ohio 44012
440-930-3225
A copy of the Insider Notice is attached hereto as Exhibit 99.1 and is incorporated herein by
reference.
Item 9.01. Financial Statements and Exhibits.
(d)
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned hereunto duly authorized.
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PolyOne Corporation
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By:
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/s/ Lisa K. Kunkle
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Lisa K. Kunkle
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Senior Vice President, General Counsel and
Secretary
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Date: April 9, 2018
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