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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-Qualfied Stock Option (Right to Buy) | $ 40.13 | 10/24/2013 | M | 50,000 | (3) | 07/25/2017 | Series A Common Stock | 50,000 | $ 0 | 0 | D | ||||
Non-Qualfied Stock Option (Right to Buy) | $ 32.35 | 10/24/2013 | M | 9,990 | (4) | 10/01/2017 | Series A Common Stock | 9,990 | $ 0 | 3,330 | D | ||||
Non-Qualfied Stock Option (Right to Buy) | $ 32.51 | 10/24/2013 | M | 10,424 | (5) | 10/01/2018 | Series A Common Stock | 10,424 | $ 0 | 10,426 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sterin Steven C/O CELANESE CORPORATION 222 W. LAS COLINAS BLVD., SUITE 900N IRVING, TX 75039-5421 |
SVP & CFO |
/s/ James R. Peacock III, Attorney-in-Fact for Steven Sterin | 10/25/2013 | |
**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) | The sales reported in this line were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 29, 2013. |
(2) | The reported price in this line is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $57.27 to $57.94. The reporting person will provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price. |
(3) | Granted pursuant to the Company's 2004 Stock Incentive Plan. The options vested with respect to 25% of the options on each of January 1, 2009, January 1, 2010, January 1, 2011 and January 1, 2012. |
(4) | Granted pursuant to the Company's 2009 Global Incentive Plan. The original option grant of 13,320 options vested with respect to 25% of such options on each of October 1, 2011, October 1, 2012 and October 1, 2013, and will continue to vest, subject to continuted employment, with respect to 25% on October 1, 2014. |
(5) | Granted pursuant to the Company's 2009 Global Incentive Plan. The original option grant of 20,850 options vested with respect to 25% of such options on each of October 1, 2012 and October 1, 2013, and will continue to vest, subject to continuted employment, with respct to 25% of such options on each of October 1, 2014 and October 1, 2015. |