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)
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2. Issuer Name and Ticker or Trading Symbol
MARKWEST HYDROCARBON INC [ MWP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/21/2003 | ||||||||||||||||||||||||||
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 | ||||||
Common Stock | 11/21/2003 | M | 26,909(1) | A | $9.77 | 26,909(1) | D | |||
Common Stock | 11/21/2003 | M | 4,894(1) | A | $9.55 | 31,803(1) | D | |||
Common Stock | 11/21/2003 | M | 4,400(1) | A | $9.09 | 36,203(1) | D | |||
Common Stock | 11/21/2003 | M | 2,878(1) | A | $10.23 | 39,081(1) | D | |||
Common Stock | 11/21/2003 | M | 1,383(1) | A | $7.85 | 40,464(1) | D | |||
Common Stock | 11/21/2003 | S | 40,464 | D | $11.9 | 0 | D |
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 | ||||||||
Stock Option (right to buy) | $9.77(1) | 11/21/2003 | M | 11,201(1) | (2) | 12/11/2007 | Common Stock | 11,201(1) | $0 | 0 | D | ||||
Stock Option (right to buy) | $9.55(1) | 11/21/2003 | M | 4,894(1) | (3) | 12/10/2008 | Common Stock | 4,894(1) | $0 | 1,223(1) | D | ||||
Stock Option (right to buy) | $9.09(1) | 11/21/2003 | M | 4,400(1) | (4) | 10/09/2004 | Common Stock | 4,400(1) | $0 | 0 | D | ||||
Stock Option (right to buy) | $9.77(1) | 11/21/2003 | M | 5,808(1) | (4) | 08/03/2008 | Common Stock | 5,808(1) | $0 | 0 | D | ||||
Stock Option (right to buy) | $9.77(1) | 11/21/2003 | M | 9,900(1) | (4) | 06/01/2007 | Common Stock | 9,900(1) | $0 | 0 | D | ||||
Stock Option (right to buy) | $10.23(1) | 11/21/2003 | M | 53(1) | (9) | 12/07/2010 | Common Stock | 53(1) | $0 | 2,879(1) | D | ||||
Stock Option (right to buy) | $10.23(1) | 11/21/2003 | M | 2,825(1) | (6) | 12/07/2010 | Common Stock | 2,825(1) | $0 | 0 | D | ||||
Stock Option (right to buy) | $7.85(1) | 11/21/2003 | M | 1,383(1) | (7) | 06/18/2009 | Common Stock | 1,383(1) | $0 | 9,618(1) | D | ||||
Stock Option (right to buy) | $6.95(1) | (4) | 06/02/2004 | Common Stock | 2,046(1) | 2,046(1) | D | ||||||||
Stock Option (right to buy) | $6.95(1) | (4) | 06/02/2004 | Common Stock | 6,297(1) | 6,297(1) | D | ||||||||
Stock Option (right to buy) | $4.89(1) | (5) | 11/30/2009 | Common Stock | 4,238(1) | 4,238(1) | D | ||||||||
Stock Option (right to buy) | $7.96(1) | (5) | 07/26/2010 | Common Stock | 3,300(1) | 3,300(1) | D | ||||||||
Stock Option (right to buy) | $6.96(1) | (10) | 08/01/2011 | Common Stock | 1,866(1) | 1,866(1) | D | ||||||||
Stock Option (right to buy) | $6.96(1) | (8) | 08/01/2011 | Common Stock | 622(1) | 622(1) | D | ||||||||
Stock Option (right to buy) | $7.96(1) | (8) | 07/26/2010 | Common Stock | 938(1) | 938(1) | D |
Explanation of Responses: |
1. Amounts reported relect (i) with respect to common stock, ownership amounts after giving effect to the August 11, 2003 1 for 10 stock dividend, and (ii) with respect to the stock options, the number of shares underlying the stock options and exercise prices per share after giving effect to the adjustments necessary to restore the reporting persons economic interest in the applicable stock option to that which existed immediately prior to the dividend. |
2. The stock option vested in full, in five equal annual installments, on December 11, 2002. |
3. The stock option vests in five equal annual installments beginning on December 10, 1999. |
4. The stock option became fully vested in five equal annual installments. |
5. The stock option vests in four equal annual installments beginning on the first anniversary of the grant date, which grant date is ten years prior to the option expiration date reported. |
6. The stock option became fully vested in 2 equal annual installments. |
7. The stock option vested in full, in four equal annual installments, on June 18, 2003. |
8. The stock option vested in full on the first anniversary of the grant date. |
9. The stock option vested with respect to 53 of the underlying shares on December 7, 2002 and vests with respect to the remainder of the underlying shares in 2 equal annual installments on each December thereafter until fully vested on December 7, 2004. |
10. The stock option vests with respect to the underlying shares in three equal annual installments beginning on August 1, 2003. |
Remarks: |
The derivative security end of period holdings are being reported herein solely to report each class of derivative security separately rather than in the aggregate, as previously reported. |
Lucy Woods POA for Randy Nickerson | 11/25/2003 | |
** 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. |