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Filing Details

Accession Number:: 0001534701-16-000155
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-09-22 17:56:58
Reporting Period:: 2016-09-15

Filing Date:: 2016-09-22
Accepted Time:: 2016-09-22 17:56:58
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1534701	Phillips 66	PSX	Petroleum Refining (2911)	453779385

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1610150	A Robert Herman	2331 Citywest Blvd. Houston TX 77042	Executive Vice President	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-09-15	4,372	$29.58	10,067	No	4	M	Direct
Common Stock	Disposition	2016-09-15	4,372	$79.07	5,695	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options (Right to Buy)	Disposition	2016-09-15	4,372	$0.00	4,372	$29.58

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2017-02-08	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Restricted Stock Units	17,232	Direct
Common Stock	4,597	Indirect	Phillips 66 Savings Plan

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Options (Right to Buy)	$35.38	2018-02-14	5,776	5,776	Direct
Common Stock	Stock Options (Right to Buy)	$20.27	2019-02-12	12,233	12,233	Direct
Common Stock	Stock Options (Right to Buy)	$21.56	2020-02-12	26,513	26,513	Direct
Common Stock	Stock Options (Right to Buy)	$31.25	2021-02-10	33,805	33,805	Direct
Common Stock	Stock Options (Right to Buy)	$32.03	2022-02-09	47,433	47,433	Direct
Common Stock	Stock Options (Right to Buy)	$62.17	2023-02-07	12,300	12,300	Direct
Common Stock	Stock Options (Right to Buy)	$72.26	2024-02-06	11,400	11,400	Direct
Common Stock	Employee Stock Option (Right to Buy)	$74.14	2025-02-03	23,500	23,500	Direct
Common Stock	Employee Stock Option (Right to Buy)	$78.62	2026-02-02	28,800	28,800	Direct
Common Stock	Phantom Stock	$0.00		1,459	1,459	Direct
Common Stock	Performance Stock Units	$0.00		65,615	65,615	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2018-02-14	5,776	5,776	Direct
2019-02-12	12,233	12,233	Direct
2020-02-12	26,513	26,513	Direct
2021-02-10	33,805	33,805	Direct
2022-02-09	47,433	47,433	Direct
2023-02-07	12,300	12,300	Direct
2024-02-06	11,400	11,400	Direct
2025-02-03	23,500	23,500	Direct
2026-02-02	28,800	28,800	Direct
	1,459	1,459	Direct
	65,615	65,615	Direct

Footnotes

Includes shares received upon the lapse of restrictions on Restricted Stock Units, which were previously reported in Table I holdings.
Restricted Stock Units settle for shares of Phillips 66 common stock on a 1-for-1 basis on the third anniversary of the grant provided performance criteria are met.
Includes shares acquired through on-going acquisitions under 401(k) plan and/or routine dividend transactions that are exempt under rule 16a-1.
The stock options become exercisable in three equal annual installments beginning February 8, 2008.
The stock options become exercisable in three equal annual installments beginning February 14, 2009.
The stock options become exercisable in three equal annual installments beginning February 12, 2010.
The stock options become exercisable in three equal annual installments beginning February 12, 2011.
The stock options become exercisable in three equal annual installments beginning February 10, 2012.
The stock options become exercisable in three equal annual installments beginning February 9, 2013.
The stock options become exercisable in three equal annual installments beginning February 7, 2014.
The stock options become exercisable in three equal annual installments beginning February 6, 2015.
The stock options become exercisable in three equal annual installments beginning February 3, 2016.
The stock options become exercisable in three equal annual installments beginning February 2, 2017.
The shares of phantom stock convert to Phillips 66 stock on a 1-for-1 basis.
The shares of Phantom Stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transactin is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c).
Performance Stock Units (PSUs) settle for shares of Phillips 66 common stock on a 1-for-1 basis at the end of the escrow period. The escrow period ends on the earliest to occur of: (a) five years; (b) termination of employment as a result of layoff; (c) termination of employment after attainment of age 55 with five years of service; (d) termination of employment due to death or total disability; or (e) termination of employment following a change in control. The PSUs will be forfeited if the reporting person separates from service prior to the end of the escrow period for any reason other than those listed above. During the escrow period, the reporting person may not dispose of PSUs. The reporting person may also elect to defer settlement of PSUs until a later date.
The PSUs do not have an expiration date.