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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Convertible Preferred Stock | (1) | 10/26/2012 | C | 12,812 | (1) | (1) | Common Stock | 14,628 | (1) | 0 | D | ||||
Convertible Preferred Stock | (3) | (3) | (3) | Common Stock | 190,078.54 | 166,480 | I | Stepan Venture II Partnership | |||||||
Convertible Preferred Stock | (3) | (3) | (3) | Common Stock | 10,355.661 | 9,069.99 | I | By ESOP Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STEPAN F QUINN 22 W. FRONTAGE ROAD NORTHFIELD, IL 60093 |
X | X | Chairman |
Frank Quinn Stepan | 10/30/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person converted 12,812 shares of convertible preferred stock resulting in his acquisition of 14,628.101 shares of common stock. Each share of convertible preferred stock was convertible at any time into 1.14175 shares of common stock. The shares of convertible preferred stock had no expiration date. |
(2) | Reflects ESOP II acquisitions and distributions that have occurred since the Reporting Person's last ownership report covering ESOP II holdings. |
(3) | Each share of convertible preferred stock is convertible at any time into 1.14175 shares of common stock. The convertible preferred stock has no expiration date. |