Statement of Changes in Beneficial Ownership (4)
August 19 2019 - 4:43PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Laininger Dieter
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2. Issuer Name
and
Ticker or Trading Symbol
QUAKER CHEMICAL CORP
[
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, Managing Director - APAC
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(Last)
(First)
(Middle)
QUAKER CHEMICAL CORPORATION, ONE QUAKER PARK, 901 E. HECTOR STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/15/2019
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(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
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8/15/2019
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A
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968
(1)
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A
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$0.00
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5575
(2)
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D
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Common Stock
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8/15/2019
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A
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516
(3)
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A
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$0.00
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6091
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$154.92
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8/15/2019
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A
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2526
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(3)
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2/25/2026
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Common Stock
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2526
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$0.00
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2526
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D
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Explanation of Responses:
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(1)
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This award represents a one-time, time-based restricted stock award granted in recognition of the reporting person's efforts to close the combination between Quaker Chemical Corporation and Houghton International. The restricted stock vests on August 1, 2022.
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(2)
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Includes 1 share acquired in Company's Dividend Reinvestment Plan on July 31, 2019.
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(3)
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This award represents time-based restricted stock and stock options granted to reporting person for the 2019-2021 Performance Period under the Company's 2016 Long-Term Performance Incentive Plan. The restricted stock vests on February 25, 2022 and the stock options are exercisable in three consecutive annual installments: 842 shares on February 25, 2020; 842 shares on February 25, 2021; and 842 shares on February 25, 2022.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Laininger Dieter
QUAKER CHEMICAL CORPORATION
ONE QUAKER PARK, 901 E. HECTOR STREET
CONSHOHOCKEN, PA 19428-2380
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SVP, Managing Director - APAC
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Signatures
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Victoria K. Gehris, Attorney-in-Fact for Dieter Laininger
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8/19/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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