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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1. Name and Address of Reporting Person*
Eaken Matthew John

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

(Street)
NORTHFIELD IL 60093

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2018
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 & Interim CFO
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 2,136.124 I By ESOP II Trust
Common Stock 2,797.61 D
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
Performance Shares (1) (1) Common Stock 875 (1) D
Performance Shares (2) (2) Common Stock 509 (2) D
Performance Shares (3) (3) Common Stock 821 (3) D
Stock Appreciation Right 02/19/2015 02/18/2023 Common Stock 1,058 63.11 D
Stock Appreciation Right 02/18/2016 02/17/2024 Common Stock 1,416 61.91 D
Stock Appreciation Right 02/21/2018(4) 02/20/2027 Common Stock 1,899 78.58 D
Stock Appreciation Right 02/23/2018 02/22/2026 Common Stock 2,759 43.85 D
Stock Option (Right to Buy) 02/19/2015 02/18/2023 Common Stock 453 63.11 D
Stock Option (Right to Buy) 02/18/2016 02/17/2024 Common Stock 472 61.91 D
Stock Option (Right to Buy) 02/21/2018(4) 02/20/2027 Common Stock 633 78.58 D
Stock Option (Right to Buy) 02/23/2018 02/22/2026 Common Stock 920 43.85 D
Explanation of Responses:
1. 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.
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, 2019.
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. Vests ratably over three years beginning on the date shown.
Matthew M. Rice, attorney-in-fact for Matthew J. Eaken 01/11/2018
** 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.
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