UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock | Â (1) | Â (1) | Common Stock | 1,939.924 | $ (2) | D | Â |
Stock Option (Right to Buy) | Â (3) | 02/12/2019 | Common Stock | 51,877 | $ 34.67 | D | Â |
Stock Option (Right to Buy) | Â (3) | 02/12/2020 | Common Stock | 55,938 | $ 36.9 | D | Â |
Stock Option (Right to Buy) | Â (3) | 02/10/2021 | Common Stock | 44,377 | $ 53.47 | D | Â |
Stock Option (Right to Buy) | Â (3) | 02/09/2022 | Common Stock | 52,870 | $ 54.8 | D | Â |
Stock Units | Â (6) | Â (5) | Common Stock | 9,561 | $ (4) | D | Â |
Stock Units | Â (6) | Â (5) | Common Stock | 45,249 | $ (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CAVANEY RED 600 NORTH DAIRY ASHFORD HOUSTON, TX 77079 |
 |  |  Senior Vice President |  |
Shannon B. Weinberg, Attorney In Fact (by Power of Attorney filed herewith) | 12/17/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgement that it is not an exempt transaction under the Excess Benefit Plan pursuant to Rule 16a-3(c). |
(2) | The shares of phantom stock convert to ConocoPhillips common stock on a 1-for-1 basis. |
(3) | The stock options become exercisable in three equal annual installments beginning on the first anniversary of the date of grant. |
(4) | The stock units convert to ConocoPhillips common stock on a 1-for-1 basis. |
(5) | The stock units do not have an expiration date. |
(6) | The stock units will be forfeited if the reporting person separates from service prior to the end of an escrow period ending on the earliest to occur of the following: (a) termination of employment as a result of layoff; (b) termination of employment by the Company without cause or by mutual agreement; (c) termination of employment due to death or total disability; or (d) termination of employment following a change in control. During the escrow period, the reporting person may not dispose of the stock units. The stock units will convert to common stock on the later of (a) the end of the escrow period or (b) the earlier of (i) death or (ii) six months after separation from service in which case the stock units will convert to common stock. The reporting person may also elect to defer conversion of stock units until a later date. |