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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zatta Robert J C/O ROCKWOOD HOLDINGS, INC. 100 OVERLOOK CENTER PRINCETON, NJ 08540 |
Chief Executive Officer & CFO |
/s/ Robert J. Zatta | 01/21/2015 | |
**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) | Disposed of pursuant to an Agreement and Plan of Merger dated as of July 15, 2014, by and among Albemarle Corporation, Albemarle Holdings Corporation and Rockwood Holdings, Inc., in exchange for $1,437,303.67 and 13,628 shares of common stock of Albemarle Corporation having a market value of $59.70 per share as of the close of trading on the effective date of the merger. |
(2) | Represents additional shares of common stock of the Issuer that were earned upon the closing of the merger on market stock units granted in December 2012 in addition to the number of target shares reported on December 14, 2012. These shares include 185 shares representing dividend equivalent rights accrued to the reporting person on the additional shares. |
(3) | These market stock units were converted, as of the effective time of the merger, into a cash amount equal to $922,680.36 (less any required withholding taxes), which amount was calculated based on the per-share merger consideration and the issuer's share performance as of the effective time of the merger. The market stock units (as so earned) vested in full upon the reporting person's qualifying termination of employment as of the effective date of the merger, in accordance with the terms of the award. |
(4) | Represents additional shares of common stock of the Issuer that were earned upon the closing of the merger on market stock units granted in December 2013 in addition to the number of target shares reported on December 18, 2013. These shares include 28 shares representing dividend equivalent rights accrued to the reporting person on the additional shares. |
(5) | These market stock units were converted, as of the effective time of the merger, into a cash amount equal to $739,828.04 (less any required withholding taxes), which amount was calculated based on the per-share merger consideration and the issuer's share performance as of the effective time of the merger. The market stock units (as so earned) vested in full upon the reporting person's qualifying termination of employment as of the effective date of the merger, in accordance with the terms of the award. |