SEC FORM 3/A 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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1. Name and Address of Reporting Person*
Moriarty Sean Thomas

(Last) (First) (Middle)
22 WEST FRONTAGE ROAD

(Street)
NORTHFIELD

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/01/2017
3. Issuer Name and Ticker or Trading Symbol
STEPAN CO [ SCL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP & GM Polymers
5. If Amendment, Date of Original Filed (Month/Day/Year)
09/08/2017
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock(1) 1,400.805 D
Common Stock 3,492.809 I By ESOP II Trust
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
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
Stock Option (Right to Buy) 02/18/2016 02/17/2024 Common Stock 629 61.91 D
Stock Option (Right to Buy) 04/29/2016 04/28/2024 Common Stock 1,332 58.22 D
Stock Option (Right to Buy) 02/23/2018 02/22/2026 Common Stock 1,533 43.85 D
Stock Option (Right to Buy) 02/21/2018 02/20/2027 Common Stock 949 78.58 D
Stock Appreciation Right 02/19/2015 02/18/2023 Common Stock 1,208 63.11 D
Stock Appreciation Right 02/18/2016 02/17/2024 Common Stock 1,888 61.91 D
Stock Appreciation Right 04/29/2016 04/28/2024 Common Stock 3,997 58.22 D
Stock Appreciation Right 02/23/2018 02/22/2026 Common Stock 4,598 43.85 D
Stock Appreciation Right 02/21/2018 02/20/2027 Common Stock 2,848 78.58 D
Performance Shares (2) (2) Common Stock 1,458 (2) D
Performance Shares (3) (3) Common Stock 1,368 (3) D
Performance Shares (4) (4) Common Stock 764 (4) D
Share Units(1) (5) (5) Common Stock 5,217.222 (6) D
Explanation of Responses:
1. This amendment reflects Share Units which were inadvertently reported as directly held shares in in the original Form 3.
2. Each performance share represents a contingent right to receive one share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2017.
3. Each performance share represents a contingent right to receive one share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2018.
4. Each performance share represents a contingent right to receive one share of Stepan Company Common Stock. The performance shares vest upon Stepan Company achieving certain financial targets by December 31, 2019.
5. Share Units owned by the reporting persons election under the MIP are generally payable at end of employment, unless otherwise elected
6. Share Units acquired under the Management Incentive Plan (As Amended and Restated Effective January 1, 2015) ("MIP"), a nonqualified deferred compensation plan which allows MIP participants to elect to defer all or a portion of their deferred compensation into accounts pursuant to MIP provisions that convert on a one-for-one basis into Common Stock.
/s/ Matthew M. Rice, attorney-in-fact for Sean T. Moriarty 09/19/2017
** 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).
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