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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOTTWALD JOHN D 1100 BOULDERS PARKWAY RICHMOND, VA 23225 |
X | Vice Chairman of the Board |
Nicole C. Daniel, attorney in fact | 05/01/2007 | |
**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) | 25,462 shares held of record by Westham Partners, L.P.* |
(2) | 28,350 held of record by Westham Partners, L.P.* |
(3) | Additional Indirect Holdings: 33,320 Held as trustee FBO Elizabeth I. Gottwald's Trust u/a dtd 3/28/85.* 24,990 shares held of record by Westham Partners, L.P.* 55,690 Held by me and James T. Gottwald as trustee for the William M. Gottwald Trust dtd 8/16/90.* 19,052 Held by me and William M. Gottwald as trustees fbo James Matthew Gottwald u/a dtd 12/1/81.* 10,972 Held by me and William M. Gottwald as trustees fbo Sarah Wren Gottwald u/a dtd 3/1/83.* 10,472 Held by me as custodian for son, Samuel S. Gottwald.* ; 35,016 shares held by spouse. *Portion of shares held of record by Westham Partners, L.P. * Reporting person disclaims beneficial ownership. |
(4) | 55,754 shares held of record by Westham Partners, L.P. |
(5) | 132,782 shares held of record by Westham Partners, L.P. |
(6) | 129,088 shares held of record by Westham Partners, L.P. |
(7) | Includes 451,466 shares held directly by the reporting person, inadvertently omitted due to a clerical error. |
(8) | Price calculated per the terms of the Agreement between the reporting person and Albemarle Corporation. |