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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 | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 16 | 01/20/2005 | A | 492,440 | (1) | 01/20/2015 | Series A Common Stock | 492,440 | $ 0 | 492,440 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 16 | 01/20/2005 | A | 738,660 | (2) | 01/20/2015 | Series A Common Stock | 738,660 | $ 0 | 738,660 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cole Lyndon 1601 W. LBJ FREEWAY DALLAS, TX 75234 |
Exec VP and President Ticona |
Mai-Anh Nugyen | 01/20/2005 | |
**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) | Granted pursuant to the Company's 2004 Stock Incentive Plan. The options vest with respect to 15% of the Option Shares on January 20, 2005, and subject to continued employment, with respect to 20% on each of December 31, 2005, December 31, 2006, December 31, 2007 and December 31, 2008, and with respect to the remaining 5% on March 31, 2009. |
(2) | Granted pursuant to the Company's 2004 Stock Incentive Plan. The options vest with respect to 15% of the Option Shares on January 20, 2005, and subject to continued employment, the remaining shares vest on January 20, 2012, but which vesting may accelerate based on the achievement of certain performance criteria. |
Remarks: This Amended Form 4 corrects the Title of Derivative Securities and the Transaction Code of the originally filed Form 4, and provides further details on the vesting schedule of the option grant. |