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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 | ||||||||
Performance Units | (4) | 02/26/2019 | A | 2,652 | (2) | (5) | Common Stock | 2,652 | $ 0 | 2,652 | D | ||||
Performance Units | (4) | 02/26/2019 | M | 1,326 | (2) | (5) | Common Stock | 1,326 | $ 0 | 1,326 | D | ||||
Restricted Stock Unit | (6) | 02/26/2019 | M | 664 | (3) | (3) | Common Stock | 664 | $ 0 | 0 | D | ||||
Restricted Stock Unit | (6) | 02/26/2019 | A | 1,100 | (7) | (5) | Common Stock | 1,100 | $ 0 | 1,100 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LaBauve Donald J. Jr. ALBEMARLE CORPORATION 4250 CONGRESS STREET, SUITE 900 CHARLOTTE, NC 28209 |
VP, Corporate Controller & CAO |
/s/ Ander Krupa, Attorney-in-fact | 03/28/2019 | |
**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) | Portion of share increase due to periodic purchases by Albemarle Savings Plan trustee. |
(2) | Performance Units granted on 2/26/2016. First 50% vested on 2/26/2019 and second 50% vests on 2/26/2020. Shares withheld to meet tax liabilities associated with such vested Performance Units. |
(3) | On February 26, 2016, the reporting person was granted 1,328 restricted stock units, vesting on each of the third and fourth anniversary of the grant date in 2019 and 2020. |
(4) | Each Performance Unit converts to 1 share of Common Stock. |
(5) | No expiration date. |
(6) | Each Restricted Stock Unit converts to 1 share of Common Stock. |
(7) | One-half of the award amount earned will vest on 2/26/2022 and the remaining half will vest on 2/26/2023. |