Initial Statement of Beneficial Ownership (3)
August 05 2021 - 5:59PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Pruitt Joseph Scott |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/4/2021
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3. Issuer Name and Ticker or Trading Symbol
Phillips 66 [PSX]
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(Last)
(First)
(Middle)
2331 CITYWEST BLVD. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Vice President and Controller / |
(Street)
HOUSTON, TX 77042
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 18831 (1) | D | |
Common Stock | 3826.246 | I | By Phillips 66 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | (2) | 2/7/2027 | Common Stock | 1200.0 | $78.475 | D | |
Employee Stock Option (Right to Buy) | (2) | 2/6/2028 | Common Stock | 3000.0 | $94.85 | D | |
Employee Stock Option (Right to Buy) | (3) | 2/5/2029 | Common Stock | 3700.0 | $94.9675 | D | |
Employee Stock Option (Right to Buy) | (4) | 2/4/2030 | Common Stock | 4200.0 | $89.57 | D | |
Employee Stock Option (Right to Buy) | (5) | 2/9/2031 | Common Stock | 9000.0 | $74.7 | D | |
Explanation of Responses: |
(1) | Includes 7,449 Restricted Stock Units (RSUs) that settle for shares of Phillips 66 common stock on a 1-for-1 basis on the third anniversary of the date of grant and 10,040 RSUs that settle on the second anniversary of the date of grant. |
(2) | The stock options are fully vested and exercisable. |
(3) | The stock options are currently exercisable with respect to 2,466 shares of common stock. The remaining stock options vest February 5, 2022. |
(4) | The stock options are currently exercisable with respect to 1,400 shares of common stock. The remaining stock options vest in two equal installments beginning on February 4, 2022. |
(5) | The stock options become exercisable in three equal annual installments beginning on February 9, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Pruitt Joseph Scott 2331 CITYWEST BLVD. HOUSTON, TX 77042 |
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| Vice President and Controller |
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Signatures
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Amanda K. Maki, Attorney-in-Fact | | 8/5/2021 |
**Signature of Reporting Person | Date |
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