Filing Details
- Accession Number:
- 0001534158-12-000160
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-10 15:46:07
- Reporting Period:
- 2012-08-08
- Filing Date:
- 2012-08-10
- Accepted Time:
- 2012-08-10 15:46:07
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1122976 | Polyone Corp | POL | Plastic Materials, Synth Resins & Nonvulcan Elastomers (2821) | 341730488 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1479548 | V John Hulle Van | Polyone Center 33587 Walker Road Avon Lake OH 44012 | Svp, President Of Global Color | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2012-04-23 | 7,147 | $0.00 | 0 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2012-08-08 | 35,000 | $8.48 | 35,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-08 | 23,776 | $15.93 | 11,224 | No | 4 | D | Direct | |
| Common Stock | Acquisiton | 2012-08-08 | 16,133 | $7.99 | 27,357 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-08 | 10,923 | $15.98 | 16,434 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2012-08-08 | 16,434 | $0.00 | 0 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2012-05-14 | 10,000 | $0.00 | 10,000 | No | 5 | G | Indirect | Cust of UGMA Acct |
| Common Stock | Acquisiton | 2012-04-23 | 7,147 | $0.00 | 91,559 | No | 5 | G | Indirect | by Trust |
| Common Stock | Disposition | 2012-05-14 | 10,000 | $0.00 | 81,559 | No | 5 | G | Indirect | by Trust |
| Common Stock | Acquisiton | 2012-08-08 | 16,434 | $0.00 | 97,993 | No | 5 | G | Indirect | by Trust |
| Common Stock | Disposition | 2012-08-09 | 9,700 | $15.94 | 88,293 | No | 4 | S | Indirect | by Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Indirect | Cust of UGMA Acct |
| No | 5 | G | Indirect | by Trust |
| No | 5 | G | Indirect | by Trust |
| No | 5 | G | Indirect | by Trust |
| No | 4 | S | Indirect | by Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2012-08-08 | 16,133 | $0.00 | 16,133 | $7.99 |
| Common Stock | Stock Appreciation Right | Disposition | 2012-08-08 | 35,000 | $0.00 | 35,000 | $8.48 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,067 | 2017-02-16 | No | 4 | M | Direct | |
| 0 | 2013-08-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 7,936 | Indirect | Savings Plan Trust |
Footnotes
- This transaction involved a gift of securities by the reporting person to a trust, which holds the shares for the benefit of the reporting person's spouse.
- Transfer from trust to an Uniform Gift to Minors Act account for the benefit of son, of which Mr. Van Hulle is custodian.
- The sale price is a weighted average for the sale transactions. The sales prices range from a low of $15.93 per share to a high of $15.98 per share. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, PolyOne Corporation, or a security holder of PolyOne Corporation.
- The information in this report is based on a PolyOne Retirement Savings Plan statement as of August 8, 2012. PolyOne common shares are held in a unitized fund that consists of stock and cash. The number of shares and the amount of cash may fluctuate daily depending on plan level activity in the fund. Even though no transaction has occurred, this fluctuation may result in an increase or decrease in the number of shares held since the last report filed by the reporting person.
- The stock appreciation rights vest in three equal annual installments beginning February 17, 2011.
- SARs are exercisable upon vesting. Vesting occurs when the market price of the PolyOne common stock reaches pre-determined levels for three consecutive days as follows: 1/3 vests at a market price of $7.50 per share; an additional 1/3 vests at a market price of $8.50 per share; and the remaining 1/3 vests at a market price of $10.00 per share; provided, however, that no vesting will occur sooner than one year from the grant date of August 30, 2006.
Billionaire Hedge Funds
