Filing Details

Accession Number:
0001242095-10-000144
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-11-09 16:10:46
Reporting Period:
2010-11-05
Filing Date:
2010-11-09
Accepted Time:
2010-11-09 16:10:46
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1122976 Polyone Corp POL Plastic Materials, Synth Resins & Nonvulcan Elastomers (2821) 341730488
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1210472 M Kenneth Smith Polyone Center
33587 Walker Road
Avon Lake OH 44012
Sr Vp, Cio & Chro No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2010-11-05 44,700 $6.51 100,352 No 4 M Direct
Common Stock Disposition 2010-11-05 28,862 $13.48 71,490 No 4 D Direct
Common Stock Acquisiton 2010-11-05 58,500 $6.59 129,990 No 4 M Direct
Common Stock Disposition 2010-11-05 40,633 $13.48 89,357 No 4 D Direct
Common Stock Acquisiton 2010-11-05 34,100 $6.00 123,457 No 4 M Direct
Common Stock Disposition 2010-11-05 34,100 $13.44 89,357 No 4 S Direct
Common Stock Disposition 2010-11-08 10,090 $13.38 16,696 No 4 I Indirect Savings Plan Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 D Direct
No 4 M Direct
No 4 D Direct
No 4 M Direct
No 4 S Direct
No 4 I Indirect Savings Plan Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2010-11-05 34,100 $0.00 34,100 $6.00
Common Stock Stock Appreciation Right Disposition 2010-11-05 44,700 $0.00 44,700 $6.51
Common Stock Stock Appreciation Right Disposition 2010-11-05 58,500 $0.00 58,500 $6.59
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,000 2005-04-01 2013-04-01 No 4 M Direct
0 2013-01-03 No 4 M Direct
0 2014-03-07 No 4 M Direct
Footnotes
  1. The sales price is a weighted average for the sales transactions. The sales prices range from a low of $13.40 per share to a high of $13.70 per share. Full information regarding the number of shares sold at each separate price is available upon request by the Commission staff, PolyOne Corporation, or a security holder of PolyOne Corporation.
  2. The information in this report is based on a PolyOne Retirement Savings Plan statement as of November 8, 2010. 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. Even though no transaction has occured, this fluctuation may result in an increase or decrease in the number of shares held since the last report filed by the reporting person.
  3. SARs are exercisable upon vesting. Vesting occurs when the market price of the PolyOne common stock reaches pre-determined levels for three consecutive days as follows: 1/3 vests at a market price of $7.50 per share; an additional 1/3 vests at a market price of $8.50 per share; and the remaining 1/3 vests at a market price of $10.00 per share; provided, however, that no vesting will occur sooner than one year from the grant date of January 4, 2006.
  4. SARs are exercisable upon vesting. Vesting occurs when the market price of the PolyOne common stock reaches pre-determined levels for three consecutive days as follows: 1/3 vests at a market price of $7.24 per share; an additional 1/3 vests at a market price of $7.90 per share; and the remaining 1/3 vests at a market price of $8.56 per share; provided, however, that no vesting will occur sooner than one year from the grant date of March 8, 2007.