-----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, RsFonbcfMpua1SOECOcwJtEvqDldbOqaOOxNEDnF/pxIsGV4SRui1GMdS2h2fjS8 ZexvoHn7Y+G4jBfX9kOCUg== 0001084156-99-000001.txt : 19990503 0001084156-99-000001.hdr.sgml : 19990503 ACCESSION NUMBER: 0001084156-99-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990426 FILED AS OF DATE: 19990430 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: 3 SEC ACT: SEC FILE NUMBER: 001-05263 FILM NUMBER: 99605565 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: AHERN JOHN R CENTRAL INDEX KEY: 0001084156 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: THE LUBRIZOL CORP STREET 2: 29400 LAKELAND BOULEVARD CITY: WICKLIFFE STATE: OH ZIP: 44092 BUSINESS PHONE: 4409434200 MAIL ADDRESS: STREET 1: THE LUBRIZOL CORP STREET 2: 29400 LAKELAND BOULEVARD CITY: WICKLIFFE STATE: OH ZIP: 44092 3 1 FORM 3 - 04/26/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Ahern, John R. 29400 Lakeland Boulevard Wickliffe, OH 44092 2. Date of Event Requiring Statement (Month/Day/Year) 04/26/99 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol The Lubrizol Corporation LZ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common Shares |6,064 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Shares |1,831.3037 |I |Trust | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Employee Stock Options (|Current |3/25/2001|Common Shares |1,900 |$25.7813 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/25/2001|Common Shares |700 |$25.7813 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |6/24/2001|Common Shares |200 |$23.3750 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |2/24/2002|Common Shares |410 |$32.5938 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/23/2002|Common Shares |3,060 |$32.8125 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/23/2002|Common Shares |1,440 |$32.8125 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |9/28/2002|Common Shares |327 |$28.9375 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/22/2003|Common Shares |4,500 |$29.1875 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |9/27/2003|Common Shares |944 |$33.750 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/28/2004|Common Shares |4,000 |$37.50 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |11/28/04 |Common Shares |2,079 |$30.8750 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |2/27/2005|Common Shares |205 |$34.1250 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/27/2005|Common Shares |3,500 |$35.1875 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |2/26/2000|Common Shares |849 |$35.2500 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/25/2006|Common Shares |3,250 |$30.0625 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |2/26/2000|Common Shares |500 |$30.0625 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |2/26/2000|Common Shares |419 |$35.2500 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|(1) |3/24/2007|Common Shares |3,000 |$33.7500 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|Current |3/25/2001|Common Shares |1,103 |$44.4375 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|(2) |3/23/2008|Common Shares |2,750 |$37.7813 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|(3) |3/22/2009|Common Shares |4,000 |$21.3438 |D | | Right to Buy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) 2,500 are current and 750 will be exercisable on 3/24/2000. (2) 1,375 are current, 687 will be exercisable on 3/23/2000 and 688 will be exercisable on 3/23/2001. (3) 2,000 will be exercisable on 3/22/2000, 1,000 will be exercisable on 3/22/2001 and 1,000 will be exercisable on 3/22/2002. SIGNATURE OF REPORTING PERSON /s/ John R. Ahern by Leslie M. Reynolds DATE April 30, 1999 -----END PRIVACY-ENHANCED MESSAGE-----