SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/01/2017
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3. Issuer Name and Ticker or Trading Symbol
STEPAN CO
[ SCL ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
VP & GM Polymers |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
6,618.027 |
D |
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Common Stock |
3,492.809 |
I |
By ESOP II Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy) |
02/19/2015 |
02/18/2023 |
Common Stock |
518 |
63.11 |
D |
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Stock Option (Right to Buy) |
02/18/2016 |
02/17/2024 |
Common Stock |
629 |
61.91 |
D |
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Stock Option (Right to Buy) |
04/29/2016 |
04/28/2024 |
Common Stock |
1,332 |
58.22 |
D |
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Stock Option (Right to Buy) |
02/23/2018 |
02/22/2026 |
Common Stock |
1,533 |
43.85 |
D |
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Stock Option (Right to Buy) |
02/21/2018 |
02/20/2027 |
Common Stock |
949 |
78.58 |
D |
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Stock Appreciation Right |
02/19/2015 |
02/18/2023 |
Common Stock |
1,208 |
63.11 |
D |
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Stock Appreciation Right |
02/18/2016 |
02/17/2024 |
Common Stock |
1,888 |
61.91 |
D |
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Stock Appreciation Right |
04/29/2016 |
04/28/2024 |
Common Stock |
3,997 |
58.22 |
D |
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Stock Appreciation Right |
02/23/2018 |
02/22/2026 |
Common Stock |
4,598 |
43.85 |
D |
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Stock Appreciation Right |
02/21/2018 |
02/20/2027 |
Common Stock |
2,848 |
78.58 |
D |
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Performance Shares |
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Common Stock |
1,458 |
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D |
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Performance Shares |
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Common Stock |
1,368 |
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D |
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Performance Shares |
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Common Stock |
764 |
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D |
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Explanation of Responses: |
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/s/ Matthew M. Rice, attorney-in-fact for Sean T. Moriarty |
09/08/2017 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby
constitutes and appoints each of Jennifer Ansbro Hale and Matthew
Michael Rice, signing singly, as the undersigned?s true and lawful
authorized representatives and attorneys-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned?s
capacity as an executive officer of Stepan Company (?the Company?),
Forms 3, 4 and 5, and any and all amendments thereto, in accordance with
Section 16 of the Securities Exchange Act of 1934, as amended (the ?1934
Act?), and the rules and regulations promulgated thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete the execution of any such
form or schedule and the timely filing of such form or schedule with the
United States Securities and Exchange Commission and any stock exchange or
stock market or other authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorneys-in-fact, may be of benefit
to, in the best interest of, or legally required by, the undersigned, it
being understood that the documents executed by such attorneys-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall be in
such form and shall contain such terms and conditions as such attorneys-in-
fact may approve in such attorneys-in-fact?s discretion.
The undersigned hereby grants to each such attorney-in-fact full
power and authority to do and perform all and every act and thing whatsoever
requisite, necessary or proper to be done in the exercise of any of the
rights and powers herein granted, as fully to all intents and purposes as
the undersigned might or could do if personally present, with full power
of substitution or revocation, hereby ratifying and confirming all that
such attorneys-in-fact, or such attorneys-in-fact?s substitute or substitutes,
shall lawfully do or cause to be done by virtue of this power of attorney and
the rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of
the undersigned, are not assuming, nor is the Company assuming any of the
undersigned?s responsibilities to comply with Section 16 or any other
provision of the 1934 Act.
This Power of Attorney shall remain in full force and effect until
the undersigned is no longer required to file Forms 3, 4 and 5 with respect
to the undersigned?s holdings of and transactions in securities issued by
the Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of this 1st day of September, 2017.
/s/ Sean T. Moriarty
Sean T. Moriarty