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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units (2) | (3) | 04/11/2007 | A | 500 | (2) | 04/11/2010 | Common Stock | 500 | $ 0 | 500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KARMAN JAMES A 110 SEASPRAY AVENUE PALM BEACH, FL 33480 |
X |
/s/ Aaron S. Berke as attorney in fact for James A. Karman | 04/13/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reported award represents a grant of restricted stock pursuant to the A. Schulman, Inc. 2006 Equity Incentive Plan ("Plan"). The restrictions on the common stock lapse with respect to 833 shares on each of April 11, 2008 and April 11, 2009 and with respect to 834 shares on April 11, 2010. |
(2) | The reported award represents a grant of restricted stock units pursuant to the Plan. The restricted stock units will be settled for cash in an amount equal to the fair market value of a share of A. Schulman, Inc. common stock on the applicable vesting date. The restricted stock vests with respect to 166 restricted stock units on each of April 11, 2008 and April 11, 2009 and with respect to 167 restricted stock units on April 11, 2010. |
(3) | 1-to-1 |