0001058933-11-000020.txt : 20110919 0001058933-11-000020.hdr.sgml : 20110919 20110919162622 ACCESSION NUMBER: 0001058933-11-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110527 FILED AS OF DATE: 20110919 DATE AS OF CHANGE: 20110919 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAMBRICK JAMES L CENTRAL INDEX KEY: 0001110634 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05263 FILM NUMBER: 111097528 MAIL ADDRESS: STREET 1: C/O THE LUBRIZOL CORPORATION STREET 2: 29400 LAKELAND BOULEVARD CITY: WICKLIFFE STATE: OH ZIP: 44092 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 29400 LAKELAND BLVD CITY: WICKLIFFE STATE: OH ZIP: 44092 BUSINESS PHONE: 4409434200 MAIL ADDRESS: STREET 1: 29400 LAKELAND BLVD CITY: WICKLIFFE STATE: OH ZIP: 44092 FORMER COMPANY: FORMER CONFORMED NAME: LUBRIZOL CORP DATE OF NAME CHANGE: 19920703 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2011-05-27 1 0000060751 LUBRIZOL Corp LZ 0001110634 HAMBRICK JAMES L C/O THE LUBRIZOL CORPORATION 29400 LAKELAND BOULEVARD WICKLIFFE OH 44092 1 1 0 0 Chairman, President and CEO Common Shares 2011-05-27 5 G 0 E 48962 0 D 293629 D Common Shares 2011-09-15 4 I 0 17673 134.99 D 0 I By 401(k) Plan Common Shares 2011-09-15 4 I 0 142854 134.99 D 152187 D Common Shares 2011-09-16 4 D 0 152187 135 D 0 D Nonqualified Stock Option (Right to Buy) 109.35 2011-09-16 4 D 0 36100 25.65 D 2021-02-22 Common Shares 36100 0 D Nonqualified Stock Option (Right to Buy) 78.18 2011-09-16 4 D 0 43200 56.82 D 2020-02-22 Common Shares 43200 0 D Nonqualified Stock Option (Right to Buy) 27.77 2011-09-16 4 D 0 204800 107.23 D 2019-02-23 Common Shares 204800 0 D Nonqualified Stock Option (Right to Buy) 58.45 2011-09-16 4 D 0 119900 76.55 D 2018-02-19 Common Shares 119900 0 D Nonqualified Stock Option (Right to Buy) 53.07 2011-09-16 4 D 0 102300 81.93 D 2017-02-20 Common Shares 102300 0 D Nonqualified Stock Option (Right to Buy) 43.065 2011-09-16 4 D 0 143700 91.935 D 2015-12-12 Common Shares 143700 0 D Nonqualified Stock Option (Right to Buy) 39.44 2011-09-16 4 D 0 163900 95.56 D 2015-04-25 Common Shares 163900 0 D Nonqualified Stock Option (Right to Buy) 34.075 2011-09-16 4 D 0 16500 100.925 D 2012-03-25 Common Shares 16500 0 D Phantom Shares 2011-09-16 4 D 0 12666 135 D Common Shares 12666 0 D The amount of securities beneficially owned includes deferred share units held in one or more deferred compensation plans of the issuer, which are payable in common shares, and common shares acquired pursuant to dividend reinvestment, exempt under Rule 16a-11. This option granted on February 22, 2011, which vests in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on February 22, 2010, which vests in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on February 23, 2009, which vests in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on February 19, 2008, which vested in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on February 20, 2007, which vested in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on December 12, 2005, which vested in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on April 25, 2005, which vested in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. This option granted on March 25, 2002, which vested in three installments of 50% one year after grant, 25% two years after grant and 25% three years after grant, was cancelled in the merger in exchange for the cash payment per share indicated in column 8, which represents the difference between the exercise price of the option and the merger consideration of $135 per share. Phantom shares were acquired in deferred compensation plans and are payable in cash on a one-for-one basis after the third anniversary of the deferral of compensation for a participation year. The phantom shares were cancelled in the merger in exchange for the cash payment indicated in column 8. /s/ Benita R. Burton for James L. Hambrick 2011-09-19