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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Units | (1) | 10/08/2015 | M | 2,769 | (3) | (4) | Common Stock | 2,769 | $ 0 | 8,310 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sheets Jeffrey Wayne 600 NORTH DAIRY ASHFORD HOUSTON, TX 77079 |
EVP and CFO |
Shannon B. Kinney (by Power of Attorney filed with the Commission on February 7, 2013) | 10/13/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The stock units convert to ConocoPhillips common stock on a 1-for-1 basis. |
(2) | Includes units acquired through routine dividend transactions that are exempt under rule 16a-11. |
(3) | The units will be forfeited if the holder separates from service prior to the end of an escrow period ending on the earliest to occur of the following: (a) termination as a result of layoff; (b) termination after attainment of age 55 with five years of service; (c) termination due to death or disability; or (d) termination following a change in control. During the escrow period, the holder may not dispose of the units. The units will convert to common stock on the later of (a) the end of the escrow period or (b) the earlier of death or six months after separation from service. The holder may elect to defer conversion of the units. The units allow for the holder, after attaining age 55, to indicate a preference to request that the Human Resources and Compensation Committee either (a) continue the restrictions on the units; (b) lapse the restrictions and deliver common stock; or (c) cancel the units and create an account of the value in the Company's deferred compensation plan. |
(4) | The stock units do not have an expiration date. |