Filing Details
- Accession Number:
- 0001534158-14-000107
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-16 16:50:37
- Reporting Period:
- 2014-05-14
- Filing Date:
- 2014-05-16
- Accepted Time:
- 2014-05-16 16:50:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1210472 | M Kenneth Smith | Polyone Center 33587 Walker Road Avon Lake OH 44012 | Sr Vp Chief It & Hr Officer | 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 | Acquisiton | 2014-05-14 | 16,100 | $14.81 | 121,174 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-14 | 10,879 | $38.09 | 110,295 | No | 4 | D | Direct | |
| Common Stock | Acquisiton | 2014-05-14 | 15,533 | $14.61 | 125,828 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-14 | 10,453 | $38.09 | 115,375 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-05-14 | 600 | $38.49 | 114,775 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2014-05-14 | 16,100 | $0.00 | 16,100 | $14.81 |
| Common Stock | Stock Appreciation Rights | Disposition | 2014-05-14 | 15,533 | $0.00 | 15,533 | $14.61 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-02-16 | No | 4 | M | Direct | |
| 7,767 | 2022-02-14 | No | 4 | M | Direct |
Footnotes
- The sale price is a weighted average for the sale transaction. The sales prices range from a low of $38.48 per share to a high of $38.49. 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 stock appreciation rights vest in three equal annual installments beginning February 16, 2012.
- SARs become exercisable and vest one-third on the attainment of 10%, 15% and 20% stock appreciation (which must be maintained for a minimum of thirty consecutive trading days) from the grant date closing price of $14.61 per share, with no more than one-third vesting per year during the first three years.
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