FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/19/2009 |
3. Issuer Name and Ticker or Trading Symbol
Chemtura CORP [ CEM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 713(1) | I | By Savings Plan 401K Trust |
Common Stock | 5,700(4) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
NQ Stock Options (Right to Buy) | 02/16/2009(2) | 02/16/2017 | Common Stock | 8,700 | $12.06 | D | |
NQ Stock Options (Right to Buy) | 02/28/2009(3) | 02/28/2018 | Common Stock | 14,100 | $8.71 | D |
Explanation of Responses: |
1. Amount held as of January 19, 2009. |
2. On 2/16/2009 2,175 options become exercisable, on 2/16/2010 2,175 options become exercisable, and on 2/16/2011 2,175 options become exercisable. |
3. On 2/28/2009 3,525 options become exercisable, on 2/28/2010 3,525 options become exercisable, on 2/28/2011 3,525 options become exercisable, and on 2/28/2012 3,525 options become exercisable. |
4. Included in this amount are the following amounts: 1,000 time-based shares attributable to Restricted Stock Account 2006 LTIP granted 8/16/2010, and 4,700 time-based shares attributable to Restricted Stock Account 2006 LTIP granted 8/28/2011. Certain amounts attributable to the foregoing Restricted Stock Accounts are subject to vesting requirements and thus may not be distributed. Certain amounts attributable to Restricted Stock Account 2006-2008 LTIP have been included, even though they may have been reportable on Table II. In order to provide consistency in reporting, the Reporting Person is voluntarily reporting the entire amount of the grant on Table I even though the Reporting Person may be required to report on Table I only those amounts which have vested pursuant to the terms of the grant. |
Alan M. Swiech | 01/29/2009 | |
** 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 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). | ||
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. |