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Newlin Stephen D – ‘4’ for 2/6/20 re: Univar Solutions Inc.

On:  Monday, 7/6/20, at 9:17pm ET   ·   For:  2/6/20   ·   Accession #:  1225208-20-9602   ·   File #:  1-37443

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 7/06/20  Newlin Stephen D                  4                      1:11K  Univar Solutions Inc.             CT’s hCue/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- doc4.xml/3.6                         




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
NEWLIN STEPHEN D

(Last)(First)(Middle)
C/O UNIVAR SOLUTIONS INC.
3075 HIGHLAND PARKWAY, SUITE 200

(Street)
DOWNERS GROVEIL60515

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Univar Solutions Inc. [ UNVR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
2/6/20
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 2/6/20 M 10,343A$0 (1)229,186D
Common Stock 2/7/20 M 16,780A$0 (1)245,966D
Common Stock 2/20/20 A 44,530 (2)A$0.0000 (2)290,496D
Common Stock 7/1/20 F 28,432 (3)D$16.66270,691D
Common Stock 28,892IBy Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units (RSUs)-7 (1) 2/6/20 M 10,343 (4) (4)Common Stock10,343$0.000020,687D
Restricted Stock Units (RSUs)-4 (1) 2/7/20 M 16,780 (5) (5)Common Stock16,780$0.000016,780D
Explanation of Responses:
(1)  Each restricted stock unit ("RSU") is equivalent to one share of common stock upon vesting.
(2)  This is a settlement of a non- derivative performance award. In 2018, Mr. Newlin was granted an award of PRSUs ("2018 PRSUs"), split into eight equally-weighted tranches, to be earned based on performance against predetermined Adjusted EBITDA performance goals over eight equally-weighted measurement periods within the three-year period beginning January 1, 2017 and ending December 31, 2019. Each tranche would be deemed earned, if at all, following the certification of performance goal attainment by the Compensation Committee following the applicable performance period and would vest, subject to continued employment through such date, on December 31, 2020. Due to his separation from the company as an executive Tranches 1, 2, 5 and 6 all vested. The shares were held and delivered on July 1, 2020.
(3)  Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on settlement of restricted stock units. No shares were sold.
(4)  On February 6, 2018 the reporting person was granted 50,340 restricted stock units, vesting in three equal annual installments beginning on February 6, 2019 subject to the reporting person continuing to be employed through each such date. The shares were held and delivered on July 1, 2020.
(5)  On February 7, 2019 the reporting person was granted 31,020 restricted stock units, vesting in three equal annual installments beginning on February 7, 2020 subject to the reporting person continuing to be employed through each such date. The shares were held and delivered on July 1, 2020.
/s/ Noelle J. Perkins as Attorney-in-Fact for Stephen D. Newlin 7/6/20
** Signature of Reporting PersonDate
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
____________
Transaction Codes:
    A    Grant, award or other acquisition pursuant to Rule 16b-3(d).
    F    Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

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Filing Submission 0001225208-20-009602   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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