-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JMFgHm75AdE+WrQK2qgB5AEBamTw6Ndz8lwFtjttOWJ9f4ru/CRyAfO59F7EhYJu eAmT3IfI8mIpaIH97J7uJQ== 0001015036-97-000005.txt : 19970912 0001015036-97-000005.hdr.sgml : 19970912 ACCESSION NUMBER: 0001015036-97-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970831 FILED AS OF DATE: 19970905 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LUBRIZOL CORP CENTRAL INDEX KEY: 0000060751 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860] IRS NUMBER: 340367600 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-05263 FILM NUMBER: 97675718 BUSINESS ADDRESS: STREET 1: 29400 LAKELAND BLVD CITY: WICKLIFFE STATE: OH ZIP: 44092 BUSINESS PHONE: 2169434200 MAIL ADDRESS: STREET 1: 29400 LAKELAND BLVD CITY: WICKLIFFE STATE: OH ZIP: 44092 COMPANY DATA: COMPANY CONFORMED NAME: JONES WILLIAM R CENTRAL INDEX KEY: 0001015036 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 29400 LAKELAND BLVD CITY: WICKLIFFE STATE: OH ZIP: 44092 BUSINESS PHONE: 2169434200 MAIL ADDRESS: STREET 1: 29400 LAKELAND BLVD CITY: WICKLIFFE STATE: OH ZIP: 44092 4 1 FORM 4 - 08/31/97 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Jones, William R. 29400 Lakeland Boulevard Wickliffe, OH 44092 2. Issuer Name and Ticker or Trading Symbol The Lubrizol Corporation LZ 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 08/31/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Treasurer 7. 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 Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Shares |8/13/9|S | |5,000 |D |$43.3750 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/15/9|M | |2,000 |A |$21.5313 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/15/9|F | |996 |D |$42.9375 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/15/9|M | |5,000 |A |$16.6563 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/15/9|F | |1,939 |D |$42.9375 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/20/9|M | |1,700 |A |$25.7813 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/20/9|F | |1,021 |D |$42.9063 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/20/9|M | |2,134 |A |$26.4063 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/20/9|F | |1,313 |D |$42.9063 |15,300 |D | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |8/25/9|I |V|1,128.3799 |D |$44.0625 |741.6 |I |Trust | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option |$21.5313|8/15/|M | |2,000 |D |Curre|6/19/|Common Share|2,000 | |0 |D | | (Right to Buy) | |97 | | | | |nt |99 |s | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$16.6563|8/15/|M | |5,000 |D |Curre|2/26/|Common Share|5,000 | |0 |D | | (Right to Buy) | |97 | | | | |nt |2000 |s | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$25.7813|8/20/|M | |1,700 |D |Curre|3/25/|Common Share|1,700 | |0 |D | | (Right to Buy) | |97 | | | | |nt |2001 |s | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$26.4063|8/20/|M | |2,134 |D |Curre|2/25/|Common Share|2,134 | |0 |D | | (Right to Buy) | |97 | | | | |nt |2001 |s | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: SIGNATURE OF REPORTING PERSON /s/ William R. Jones by Leslie M. Reynolds DATE September 5, 1997 -----END PRIVACY-ENHANCED MESSAGE-----