SEC Form 3
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*
Traub Robert T

(Last) (First) (Middle)
QUAKER CHEMICAL CORPORATION
ONE QUAKER PARK, 901 E. HECTOR STREET

(Street)
CONSHOHOCKEN PA 19428-2380

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/01/2019
3. Issuer Name and Ticker or Trading Symbol
QUAKER CHEMICAL CORP [ KWR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, GC & Corp. Sec.
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 2,926(1) D
Common Stock 1,084(2) I By 401(k)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Employee Stock Option (right to buy) (3) 02/23/2023 Common Stock 711 $72.12 D
Employee Stock Option (right to buy) (4) 02/27/2024 Common Stock 1,458 $134.6 D
Employee Stock Option (right to buy) (5) 02/26/2025 Common Stock 2,165 $151.75 D
Explanation of Responses:
1. Includes 117 shares acquired by reporting person under the Company's Employee Stock Purchase Plan through July 31, 2019.
2. Information based on reporting person's Plan statement as of June 30, 2019.
3. The options vested in three equal installments: February 23, 2017, February 23, 2018, and February 23, 2019, and are now all vested and exercisable.
4. The options for this grant vest in three annual installments: 730 shares vested on February 27, 2018; 729 shares vested on February 27, 2019; and 729 shares vest on February 27, 2020.
5. The options for this grant vest in three annual installments: 722 shares vested on February 26, 2019; 722 shares vest on February 26, 2020; and 721 shares vest on February 26, 2021.
Remarks:
Victoria K. Gehris, Attorney-in-Fact for Robert T. Traub 08/08/2019
** 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.