Statement of Changes in Beneficial Ownership (4)
January 14 2021 - 09:45AM
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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APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 ] |
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)
1/12/2021
|
(Street)
WESTWOOD, MA 02090
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
14487 |
D |
|
Chase Corporation Common
Stock |
1/12/2021 |
|
S |
|
500 (8) |
D |
$115.57 (9) |
288913 (1) |
I |
Peter R. Chase Insurance
Trust |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
43387 (2) |
I |
Peter R. Chase 2019 Qualified Annuity Trust
#1 |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
96840 (3) |
I |
Peter R. Chase 2019 Qualified Annuity Trust
#2 |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
278420 (6) |
I |
Peter R. Chase 2020 Qualified Annuity Trust
#1 |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
85000 (7) |
I |
Peter R. Chase 2020 Qualified Annuity Trust
#2 |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
30052 (4) |
I |
Peter R. Chase Trust |
Chase Corporation Common
Stock |
|
|
|
|
|
|
|
1470 (5) |
I |
Chase 2015 Irrevocable
Trust |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
Reflects shares held by the
Peter R. Chase 2019 Qualified Annuity Trust #1 subsequent to exempt
transfer to Mr. Chase. |
(3) |
Reflects shares held by the
Peter R. Chase 2019 Qualified Annuity Trust #2 subsequent to exempt
transfer to Mr. Chase. |
(4) |
Represents shares held by
the Peter R. Chase Trust. |
(5) |
Represents shares held by
the Chase 2015 Irrevocable Trust. |
(6) |
Reflects shares held by the
Peter R. Chase 2020 Qualified Annuity Trust #1 subsequent to exempt
transfer from Mr. Chase. |
(7) |
Reflects shares held by the
Peter R. Chase 2020 Qualified Annuity Trust #2 subsequent to exempt
transfer from Mr. Chase. |
(8) |
Represents shares sold
pursuant to a trading plan that was adopted on July 13, 2020,
complying with Rule 10b5-1 under the Securities Exchange Act of
1934, as amended. |
(9) |
Represents a weighted
average price. These shares were sold in multiple transactions at
prices ranging from $115.40 to $115.89 for all transactions
reported on this date utilizing a weighted average price. The
reporting person will provide to issuer, any security holder of the
issuer, or the SEC staff, upon request, information regarding the
number of shares sold at each price within the range. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
CHASE PETER R
295 UNIVERSITY AVE.
WESTWOOD, MA 02090 |
X |
|
Executive Chairman |
|
Signatures
|
Marlene Torio by power of
attorney |
|
1/14/2021 |
**Signature of Reporting
Person |
Date |