SEC Info - Crawford Raphael Goszcz - ‘3/A’ for 5/7/19 re: Albemarle Corp.

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Crawford Raphael Goszcz

(Last)

(First)

(Middle)

ALBEMARLE CORPORATION

4250 CONGRESS STREET, SUITE 900

(Street)

CHARLOTTE

28209

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
5/7/19

3. Issuer Name and Ticker or Trading Symbol
ALBEMARLE CORP [ ALB ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
President, Catalysts

5. If Amendment, Date of Original Filed (Month/Day/Year)
5/7/19

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	40	I	Albemarle Savings Plan ⁽¹⁾
Common Stock	5,308	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option	⁽²⁾	⁽²⁾	Common Stock	1,030	65	D
Stock Option	⁽³⁾	⁽³⁾	Common Stock	2,046	63.84	D
Stock Option	⁽⁴⁾	⁽⁴⁾	Common Stock	3,720	56.08	D
Stock Option	⁽⁵⁾	⁽⁵⁾	Common Stock	7,784	56.56	D
Stock Option	⁽⁶⁾	⁽⁶⁾	Common Stock	6,255	92.93	D
Stock Option	⁽⁷⁾	⁽⁷⁾	Common Stock	5,021	118.75	D
Stock Option	⁽⁸⁾	⁽⁸⁾	Common Stock	7,218	91	D
Restricted Stock Units	⁽⁹⁾	⁽¹⁰⁾	Common Stock	2,212	⁽¹¹⁾	D
Restricted Stock Units	⁽¹²⁾	⁽¹⁰⁾	Common Stock	1,884	⁽¹¹⁾	D
Restricted Stock Units	⁽¹³⁾	⁽¹⁰⁾	Common Stock	1,580	⁽¹¹⁾	D
Restricted Stock Units	⁽¹⁴⁾	⁽¹⁰⁾	Common Stock	2,198	⁽¹¹⁾	D

Explanation of Responses:

(1) Total number of shares of Common Stock held in the name of the Reporting Person under the Albemarle Corporation Retirement Savings Plan as of the date of this Form 3.

(2) On February 22, 2013, the reporting person was granted a 10-year option exercisable for 3,090 shares of Common Stock. The option fully vested on 2/22/18.

(3) On February 24, 2014, the reporting person was granted a 10-year option exercisable for 3,069 shares of Common Stock. The option fully vested on 2/24/19.

(4) On February 24, 2015, the reporting person was granted a 10-year option exercisable for 3,720 shares of Common Stock. 2/3 of the Option vested on 2/24/18 and 2/24/19. The remaining 1/3 of the option will vest on 2/24/20.

(5) On February 24, 2016, the reporting person was granted a 10-year option exercisable for 7,784 shares of Common Stock. The option cliff-vested on 2/26/19.

(6) On February 24, 2017, the reporting person was granted a 10-year option exercisable for 6,255 shares of Common Stock. The option cliff-vests on 2/24/20.

(7) On February 23, 2018, the reporting person was granted a 10-year option exercisable for 5,021 shares of Common Stock. The option cliff-vests on 2/23/21.

(8) On February 26, 2019, the reporting person was granted a 10-year option exercisable for 7,218 shares of Common Stock. The option cliff-vests on 2/26/22.

(9) Restricted Stock Units granted on 2/26/16. First 50% vested on 2/26/19 and second 50% vests on 2/26/20.

(10) No expiration date.

(11) Each Restricted Stock Unit converts to 1 share of Common Stock.

(12) Restricted Stock Units granted on 2/24/17. First 50% vests on 2/24/20 and second 50% vests on 2/24/21.

(13) Restricted Stock Units granted on 2/23/18. First 50% vests on 2/23/21 and second 50% vests on 2/23/22.

(14) Restricted Stock Units granted on 2/26/19. First 50% vests on 2/26/22 and second 50% vests on 2/26/23.

Remarks:

Due to an administrative error, the original Form 3 omitted the number of shares of Common Stock directly and indirectly beneficially owned by the Reporting Person on Table I. Table II overstated the number of shares currently underlying the stock options granted on February 22, 2013 and February 24, 2014, respectively.

	/s/ Stefanie Holland, attorney-in-fact	1/23/20
	** Signature of Reporting Person	Date
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 5 (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.

Crawford Raphael Goszcz – ‘3/A’ for 5/7/19 re: Albemarle Corp.

On: Thursday, 1/23/20, at 6:23pm ET · For: 5/7/19 · Accession #: 915913-20-30 · File #: 1-12658

Previous ‘3’: ‘3’ on 5/17/19 for 5/7/19 · Next & Latest: ‘3/A’ on 11/12/20 for 5/17/19

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

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Crawford Raphael Goszcz – ‘3/A’ for 5/7/19 re: Albemarle Corp.

On: Thursday, 1/23/20, at 6:23pm ET · For: 5/7/19 · Accession #: 915913-20-30 · File #: 1-12658

Previous ‘3’: ‘3’ on 5/17/19 for 5/7/19 · Next & Latest: ‘3/A’ on 11/12/20 for 5/17/19

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34Filing Table of Contents

This ‘3/A’ Document is an XML Data File that may be rendered in various formats:

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents