SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol CHASE CORP [ CCF ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 08/27/2018 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Chase Corporation Common Stock | 5,693 | D | ||||||||
| Chase Corporation Common Stock | 258,451(2) | I | Peter R. Chase 2016 Qualified Annuity Trust #2-ML | |||||||
| Chase Corporation Common Stock | 08/27/2018 | S | 1,000(5) | D | $127.55(6) | 223,991(1) | I | Peter R. Chase Insurance Trust | ||
| Chase Corporation Common Stock | 08/29/2018 | S | 500(5) | D | $127.21(7) | 223,491(1) | I | Peter R. Chase Insurance Trust | ||
| Chase Corporation Common Stock | 75,612(3) | I | Peter R. Chase 2018 Qualified Annuity Trust #2-ML | |||||||
| Chase Corporation Common Stock | 415,000(4) | I | Peter R. Chase 2018 Qualified Annuity Trust-RJ | |||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Explanation of Responses: |
| 1. Represents shares held by the Peter R. Chase Insurance Trust. |
| 2. Reflects shares held by the Peter R. Chase 2016 Qualified Annuity Trust #2, a grantor retained annuity trust. ML |
| 3. Represents shares held by the Peter R. Chase 2018 Qualified Annuity Trust #2, a grantor retained annuity trust. ML |
| 4. Represents shares held by the Peter R. Chase 2018 Qualified Annuity Trust, a grantor retained annuity trust. RJ |
| 5. Represents shares sold pursuant to a trading plan that was adopted on February 13, 2018, complying with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. |
| 6. Represents a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.25 to $130.00 for all transactions reported on this date utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
| 7. Represents a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.20 to $127.30 for all transactions reported on this date utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
| Paula Myers by power of attorney | 08/29/2018 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||