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