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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units
|
Â
(2)
|
05/31/2013 |
Common Stock
|
15,368
(3)
|
$
(2)
|
D
|
Â
|
Restricted Stock Units
|
Â
(4)
|
02/16/2014 |
Common Stock
|
2,356
(3)
|
$
(4)
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
02/14/2015 |
Common Stock
|
2,732
(3)
|
$
(5)
|
D
|
Â
|
Restricted Stock Units
|
Â
(6)
|
02/15/2016 |
Common Stock
|
3,600
|
$
(6)
|
D
|
Â
|
Stock Appreciation Rights
|
Â
(7)
|
02/14/2022 |
Common Stock
|
4,000
|
$
14.61
|
D
|
Â
|
Stock Appreciation Rights
|
Â
(8)
|
02/16/2021 |
Common Stock
|
1,400
|
$
14.81
|
D
|
Â
|
Stock Appreciation Rights
|
Â
(9)
|
02/15/2023 |
Common Stock
|
7,800
|
$
23.08
|
D
|
Â
|
* |
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 information in this report is based on a PolyOne Retirement Savings Plan statement as of March 13, 2013. PolyOne common shares are held in a unitized fund that consists of stock and cash. The number of shares and the amount of cash may fluctuate daily depending on plan level activity in the fund. |
(2) |
The restricted stock units vest 3 years from the grant date on 5/31/2013. |
(3) |
The restricted stock units include all dividend equivalents acquired since the date of grant. Dividend equivalents are subject to the same restrictions as the underlying grant of restricted stock units. |
(4) |
The restricted stock units vest 3 years from the grant date on 2/16/2014. |
(5) |
The restricted stock units vest 3 years from the grant date on 2/14/2015. |
(6) |
The restricted stock units vest 3 years from the grant date on 2/15/2016. |
(7) |
SARs become exercisable and vest one-third on the attainment of 10%, 15% and 20% stock appreciation (which must be maintained for a minimum of thirty consecutive trading days) from the grant date closing price of $14.61 per share, with no more than one-third vesting per year during the first three years. |
(8) |
The stock appreciation rights vest in three equal annual installments beginning February 16, 2012. |
(9) |
SARs become exercisable and vest only upon the achievement of both price and time requirements. To vest, each one-third of the grant must attain 10%, 15% and 20% stock appreciation, respectively (which must be maintained for a minimum of thirty consecutive trading days) from the grant date closing price of $23.08 per share and no more than one-third of the grant can vest per year during the first three years. |