Basic Stats
| LEI | 5493004OGK9A7CGV3B42 |
| CIK | 87565 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Schulman (A.), Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| January 17, 2020 |
SHLM / Schulman (A.), Inc. 15-15D/A - - 15-15D/A 15-15D/A 1 a20-345911515da.htm 15-15D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15/A Amendment No. 1 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 333-214278 A. Sch |
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| September 20, 2018 |
SHLM / Schulman (A.), Inc. 15-15D 15-15D 1 d623319d1515d.htm 15-15D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 333-214278 A. Schulman, Inc. ADDITIONAL GUARANTOR REGIS |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS 1 d612980ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. 333-222472 Registration No. 333-201419 Registration No. 333-178159 Registration No. 333-171649 Registration No. 333-164366 Registration No. 333-139236 Registration No. 333-102718 Registration No. 333-93093 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 205 |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS 1 d612980ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. 333-222472 Registration No. 333-201419 Registration No. 333-178159 Registration No. 333-171649 Registration No. 333-164366 Registration No. 333-139236 Registration No. 333-102718 Registration No. 333-93093 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 205 |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS 1 d612980ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. 333-222472 Registration No. 333-201419 Registration No. 333-178159 Registration No. 333-171649 Registration No. 333-164366 Registration No. 333-139236 Registration No. 333-102718 Registration No. 333-93093 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 205 |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS 1 d612980ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. 333-222472 Registration No. 333-201419 Registration No. 333-178159 Registration No. 333-171649 Registration No. 333-164366 Registration No. 333-139236 Registration No. 333-102718 Registration No. 333-93093 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 205 |
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| August 24, 2018 |
SHLM / Schulman (A.), Inc. S-8 POS S-8 POS 1 d612980ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on August 24, 2018 Registration No. 333-222472 Registration No. 333-201419 Registration No. 333-178159 Registration No. 333-171649 Registration No. 333-164366 Registration No. 333-139236 Registration No. 333-102718 Registration No. 333-93093 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 205 |
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| August 21, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File |
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| August 21, 2018 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION CONTINGENT VALUE RIGHTS AGREEMENT, dated as of August 21, 2018, by and among A. SCHULMAN, INC., as the Company, solely with respect to Sections 8.03, 8.05 through 8.12, and 8.14, LYONDELLBASELL INDUSTRIES N.V., as Parent, Joseph M. Gingo, John K. Broussard, Jr. and David Leathers, as the initial Committee Members, and EQUINITI TRUST COMPANY, as Paying Agent T |
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| August 21, 2018 |
8-K 1 d609354d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporat |
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| August 21, 2018 |
Third Amended and Restated Certificate of Incorporation of A. Schulman, Inc., dated August 21, 2018. EX-3.1 Exhibit 3.1 THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF A. SCHULMAN, INC. ARTICLE I The name of the corporation is A. Schulman, Inc. (the “Corporation”). ARTICLE II The address of the registered office of the Company in the State of Delaware is Corporation Trust Center, 1209 Orange Street, Wilmington, New Castle County, Delaware 19801, and the name and address of the register |
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| August 21, 2018 |
Second Amended and Restated By-laws of A. Schulman, Inc., dated August 21, 2018. EX-3.2 Exhibit 3.2 SECOND AMENDED AND RESTATED BYLAWS OF A. SCHULMAN, INC. ARTICLE I OFFICES Section 1.1 Registered Office. The registered office of A. Schulman, Inc. (the “Corporation”) shall be the registered office named in the original Certificate of Incorporation of the Corporation (as may be amended and restated from time to time, the “Certificate of Incorporation”), or such other office as |
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| June 28, 2018 |
SHLM / Schulman (A.), Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended May 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 0-7459 A. SCHULMAN, INC |
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| June 14, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 d581458d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorpo |
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| June 14, 2018 |
A. Schulman Stockholders Approve Merger with LyondellBasell EX-99.1 Exhibit 99.1 A. Schulman Stockholders Approve Merger with LyondellBasell Akron, OH, June 14, 2018 – A. Schulman, Inc. (“A. Schulman”) (NASDAQ: SHLM) announced that during a special stockholder meeting today A. Schulman stockholders approved the merger agreement under which LyondellBasell Industries N.V. (“LyondellBasell”) will acquire all of the outstanding shares of A. Schulman common sto |
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| June 8, 2018 |
SHLM / Schulman (A.), Inc. DEFA14A DEFA14A 1 d604850ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 31, 2018 |
SHLM / Schulman (A.), Inc. FORM SD FORM SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report A. Schulman, Inc. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 3637 Ridgewood Rd., Fairlawn, OH 44333 (Address of principal |
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| May 31, 2018 |
Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD. EX-1.01 Exhibit 1.01 A. Schulman, Inc. Conflict Minerals Report for the Calendar Year Ended December 31, 2017 A. Schulman, Inc. (the “Company,” “we” or “our”) has included this Conflict Minerals Report (this “Report”) as an exhibit to its Form SD for the calendar year ended December 31, 2017 (the “Reporting Period”) as required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended (t |
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| May 30, 2018 |
SHLM / Schulman (A.), Inc. DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 11, 2018 |
SHLM / Schulman (A.), Inc. DEFM14A DEFM14A 1 d536012ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| April 18, 2018 |
Exhibit 99.1 A. Schulman Sets June 14, 2018 Special Meeting for Vote on Merger Agreement with LyondellBasell Stockholders of Record on May 7, 2018 entitled to vote at Special Meeting AKRON, Ohio - April 18, 2018 - A. Schulman, Inc. (Nasdaq: SHLM) today announced that it has established a record date of May 7, 2018, and a meeting date of June 14, 2018, for a special meeting of its stockholders to, |
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| April 18, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 18, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 18, 2018 |
Press Release of A. Schulman, Inc., dated April 18, 2018. EX-99.1 2 shlm-20180418xexx991.htm EXHIBIT 99.1 Exhibit 99.1 A. Schulman Sets June 14, 2018 Special Meeting for Vote on Merger Agreement with LyondellBasell Stockholders of Record on May 7, 2018 entitled to vote at Special Meeting AKRON, Ohio - April 18, 2018 - A. Schulman, Inc. (Nasdaq: SHLM) today announced that it has established a record date of May 7, 2018, and a meeting date of June 14, 2018 |
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| April 18, 2018 |
SHLM / Schulman (A.), Inc. 8-K DEFA14A 1 shlm-20180418x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 18, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of in |
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| March 28, 2018 |
SHLM / Schulman (A.), Inc. 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 27, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 28, 2018 |
EXHIBIT 10.1 AMENDMENT OF EMPLOYMENT AGREEMENT This Amendment (the “Amendment”) to the Employment Agreement entered into as of September 22, 2016 (the “Agreement”) by and between A. Schulman, Inc., a Delaware corporation (the “Employer” or “Company”) and Joseph M. Gingo (the “Employee”), is made and entered into this 27th day of March, 2018. WHEREAS, pursuant to Section 4.1 of the Agreement the Te |
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| March 28, 2018 |
Form of Amendment of Change-in-Control Agreement with Executive Officers. EX-10.2 3 shlm-20180327xexx102.htm EXHIBIT 10.2 EXHIBIT 10.2 AMENDMENT OF CHANGE IN CONTROL AGREEMENT This Amendment (the “Amendment”) to the Change in Control Agreement dated September 22, 2016 (the “Agreement”) is made as of this day of March, 2018 between A. Schulman, Inc., a Delaware corporation (the “Corporation”) and (“Employee”). RECITALS A. Employee and the Corporation entered into the Agr |
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| March 28, 2018 |
Form of Amendment of Change-in-Control Agreement with Executive Officers. EXHIBIT 10.2 AMENDMENT OF CHANGE IN CONTROL AGREEMENT This Amendment (the “Amendment”) to the Change in Control Agreement dated September 22, 2016 (the “Agreement”) is made as of this day of March, 2018 between A. Schulman, Inc., a Delaware corporation (the “Corporation”) and (“Employee”). RECITALS A. Employee and the Corporation entered into the Agreement, pursuant to which Employee was provided |
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| March 28, 2018 |
8-K 1 shlm-201803278k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 27, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorpo |
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| March 28, 2018 |
EXHIBIT 10.1 AMENDMENT OF EMPLOYMENT AGREEMENT This Amendment (the “Amendment”) to the Employment Agreement entered into as of September 22, 2016 (the “Agreement”) by and between A. Schulman, Inc., a Delaware corporation (the “Employer” or “Company”) and Joseph M. Gingo (the “Employee”), is made and entered into this 27th day of March, 2018. WHEREAS, pursuant to Section 4.1 of the Agreement the Te |
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| March 28, 2018 |
Results of Operations and Financial Condition 8-K 1 shlm180404pressrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 28, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of |
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| March 28, 2018 |
A. Schulman Reports Fiscal 2018 Second Quarter Results EX-99.1 2 shlmq218newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 A. Schulman Reports Fiscal 2018 Second Quarter Results AKRON, Ohio, March 28, 2018 - A. Schulman, Inc. (Nasdaq: SHLM) today announced its financial results for the fiscal 2018 second quarter ended February 28, 2018. The Company reported quarterly net income available to common stockholders of $3.5 million, or $0.12 per diluted share. Last |
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| March 28, 2018 |
Exhibit 10.6 Notice of Grant of Restricted Stock Units, Incentive Stock Options and Nonqualified Stock Options [Name] Subject to the terms and conditions of the 2017 Equity Incentive Plan (the “Plan”), the Award Agreements, and Summary of Performance Objectives accompanying this Notice, you have been granted awards of Restricted Stock Units, Incentive Stock Options, and Nonqualified Stock Options |
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| March 28, 2018 |
Form of 2018 Notice of Equity Grant and Award Agreement for Non-Employee Directors (filed herewith). Exhibit 10.4 Notice of Director Equity Grant [Name] Subject to the terms and conditions of the 2017 Equity Incentive Plan (the “Plan”) and the Award Agreement, you have been granted an award of unrestricted Shares (“Award”), as follows: Grant Date: January 10, 2018 Number of Shares: Your Award consists of [x,xxx] unrestricted Shares 1 Vesting Schedule: None Settlement: Your Award will be settled i |
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| March 28, 2018 |
Form of 2018 Restricted Stock Unit Award Agreement (U.S. Employees) (filed herewith). Exhibit 10.8 A. SCHULMAN, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT A. Schulman, Inc. (the Company) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, the 2017 Equity Incentive Plan (the Plan) as a means through which |
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| March 28, 2018 |
Form of 2018 Nonqualified Stock Option Award Agreement (filed herewith). Exhibit 10.11 A. SCHULMAN, INC. NONQUALIFIED STOCK OPTION AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, the 2017 Equity Incentive Plan (the “Plan”) as a means throu |
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| March 28, 2018 |
SHLM / Schulman (A.), Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended February 28, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 0-7459 A. SCHULMAN |
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| March 28, 2018 |
EX-10.7 5 shlm-20180228xexx107.htm EXHIBIT 10.7 Exhibit 10.7 Notice of Grant of Restricted Stock Units and Nonqualified Stock Options [Name] Subject to the terms and conditions of the 2017 Equity Incentive Plan (the “Plan”) the Award Agreements, and the Summary of Performance Objectives accompanying this Notice, you have been granted an award of Restricted Stock Units [and Nonqualified Stock Optio |
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| March 28, 2018 |
Form of 2018 Incentive Stock Option Award Agreement (U.S. Employees) (filed herewith). EX-10.10 8 shlm-20180228xexx1010.htm EXHIBIT 10.10 Exhibit 10.10 A. SCHULMAN, INC. INCENTIVE STOCK OPTION AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, the 2017 Equ |
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| March 28, 2018 |
Form of 2018 Restricted Stock Unit Award Agreement (Non-U.S. Employees) (filed herewith). Exhibit 10.9 A. SCHULMAN, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, the 2017 Equity Incentive Plan (the “Plan) as a means through whi |
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| March 28, 2018 |
EX-10.5 3 shlm-20180228xexx105.htm EXHIBIT 10.5 Exhibit 10.5 Notice of Grant of Restricted Stock Units and Incentive Stock Options [Name] Subject to the terms and conditions of the 2017 Equity Incentive Plan (the “Plan”), the Award Agreements, and the Summary of Performance Objectives accompanying this Notice, you have been granted awards of Restricted Stock Units and Incentive Stock Options (“Awa |
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| March 27, 2018 |
SHLM / Schulman (A.), Inc. PREM14A PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 21, 2018 |
LYB / LyondellBasell Industries NV DFAN14A DFAN14A 1 d555368ddfan14a.htm DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☑ Check the appropriate box: ☐ Preliminary Prox |
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| March 15, 2018 |
LYB / LyondellBasell Industries NV DFAN14A DFAN14A 1 d470718ddfan14a.htm DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Prox |
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| February 21, 2018 |
SHLM / Schulman (A.), Inc. CORRESP CORRESP 1 filename1.htm Corporate Headquarters • 3637 Ridgewood Road • Fairlawn, Ohio 44333 t: 1-800-54-RESIN • p: 330-666-3751 • f: 330-668-7204 www.aschulman.com February 21, 2018 Via EDGAR and Electronic Transmission United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4631 Washington, D.C. 20549-7010 ATTN: W. John Cash Accounting Branch Chief Office of Man |
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| February 15, 2018 |
LYB / LyondellBasell Industries NV DFAN14A DFAN14A 1 d538165ddfan14a.htm DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☑ Check the appropriate box: ☐ Preliminary Prox |
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| February 15, 2018 |
8-K 1 d437735d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 15, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorpora |
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| February 15, 2018 |
EX-99.2 5 d437735dex992.htm EX-99.2 Exhibit 99.2 Dear Associates, I am writing to share some exciting news. This morning we announced that we have entered into a definitive agreement to be acquired by LyondellBasell to create the industry’s leading Advanced Polymer Solutions businesses. The transaction will bring A. Schulman’s wide range of high-performance plastic compounds, composites and resins |
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| February 15, 2018 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among A. SCHULMAN, INC., LYONDELLBASELL INDUSTRIES N.V. And LYB AMERICAS HOLDCO INC. Dated as of February 15, 2018 TABLE OF CONTENTS Page Article I THE MERGER Section 1.01 The Merger 2 Section 1.02 Effective Time 2 Section 1.03 The Closing 2 Article II EFFECTS OF THE MERGER Section 2.01 Effects of the Merger 2 Section 2.02 Or |
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| February 15, 2018 |
EX-10.1 Exhibit 10.1 Form of CONTINGENT VALUE RIGHTS AGREEMENT, dated as of [?] [?], 201[?], by and among A. SCHULMAN, INC., as the Company, solely with respect to Sections 8.03, 8.05 through 8.12 and 8.14. LYONDELLBASELL INDUSTRIES N.V., as Parent, [?], [?] and [?], as the initial Committee Members, and [PAYING AGENT], as Paying Agent TABLE OF CONTENTS Page Article I CONTINGENT VALUE RIGHTS Secti |
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| February 15, 2018 |
EX-99.1 4 d437735dex991.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE HOUSTON, LONDON and AKRON, OH February 15, 2018 LyondellBasell Announces Entry into a Definitive Agreement to Acquire A. Schulman, Inc. Combination creates a premier global provider of Advanced Polymer Solutions • Creates an industry-leading compounding business with combined revenue of $4.6 billion1 and adjusted E |
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| February 15, 2018 |
Joint Press Release, dated February 15, 2018. EX-99.1 4 d437735dex991.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE HOUSTON, LONDON and AKRON, OH February 15, 2018 LyondellBasell Announces Entry into a Definitive Agreement to Acquire A. Schulman, Inc. Combination creates a premier global provider of Advanced Polymer Solutions • Creates an industry-leading compounding business with combined revenue of $4.6 billion1 and adjusted E |
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| February 15, 2018 |
SHLM / Schulman (A.), Inc. 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 15, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 15, 2018 |
EX-99.2 5 d437735dex992.htm EX-99.2 Exhibit 99.2 Dear Associates, I am writing to share some exciting news. This morning we announced that we have entered into a definitive agreement to be acquired by LyondellBasell to create the industry’s leading Advanced Polymer Solutions businesses. The transaction will bring A. Schulman’s wide range of high-performance plastic compounds, composites and resins |
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| February 15, 2018 |
EX-10.1 Exhibit 10.1 Form of CONTINGENT VALUE RIGHTS AGREEMENT, dated as of [?] [?], 201[?], by and among A. SCHULMAN, INC., as the Company, solely with respect to Sections 8.03, 8.05 through 8.12 and 8.14. LYONDELLBASELL INDUSTRIES N.V., as Parent, [?], [?] and [?], as the initial Committee Members, and [PAYING AGENT], as Paying Agent TABLE OF CONTENTS Page Article I CONTINGENT VALUE RIGHTS Secti |
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| February 15, 2018 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among A. SCHULMAN, INC., LYONDELLBASELL INDUSTRIES N.V. And LYB AMERICAS HOLDCO INC. Dated as of February 15, 2018 TABLE OF CONTENTS Page Article I THE MERGER Section 1.01 The Merger 2 Section 1.02 Effective Time 2 Section 1.03 The Closing 2 Article II EFFECTS OF THE MERGER Section 2.01 Effects of the Merger 2 Section 2.02 Or |
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| February 15, 2018 |
LYB / LyondellBasell Industries NV DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, fo |
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| February 15, 2018 |
LYB / LyondellBasell Industries NV FORM 8-K DFAN14A 1 d536459d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2018 LYONDELLBASELL INDUSTRIES N.V. (Exact Name of Registrant as Specified in Charter) The Netherlands 001-34726 98-0646235 (State or Ot |
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| February 15, 2018 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among A. SCHULMAN, INC., LYONDELLBASELL INDUSTRIES N.V. And LYB AMERICAS HOLDCO INC. Dated as of February 15, 2018 TABLE OF CONTENTS Page Article I THE MERGER Section 1.01 The Merger 2 Section 1.02 Effective Time 2 Section 1.03 The Closing 2 Article II EFFECTS OF THE MERGER Section 2.01 Effects of the Merger 2 Section 2.02 Or |
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| February 15, 2018 |
EX-10.1 Exhibit 10.1 Form of CONTINGENT VALUE RIGHTS AGREEMENT, dated as of [?] [?], 201[?], by and among A. SCHULMAN, INC., as the Company, solely with respect to Sections 8.03, 8.05 through 8.12 and 8.14. LYONDELLBASELL INDUSTRIES N.V., as Parent, [?], [?] and [?], as the initial Committee Members, and [PAYING AGENT], as Paying Agent TABLE OF CONTENTS Page Article I CONTINGENT VALUE RIGHTS Secti |
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| February 15, 2018 |
EX-99.1 4 d536459dex991.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE HOUSTON, LONDON and AKRON, OH February 15, 2018 LyondellBasell Announces Entry into a Definitive Agreement to Acquire A. Schulman, Inc. Combination creates a premier global provider of Advanced Polymer Solutions • Creates an industry-leading compounding business with combined revenue of $4.6 billion1 and adjusted E |
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| February 14, 2018 |
SC 13G/A 1 shlma421418.htm DARUMA CAPITAL MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* A. Schulman, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropria |
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| February 12, 2018 |
SHLM / Schulman (A.), Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 aschulmaninc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8 )* Name of issuer: A Schulman Inc Title of Class of Securities: Common Stock CUSIP Number: 808194104 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to designate the rule pursuant to which t |
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| February 9, 2018 |
SHLM / Schulman (A.), Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment SC 13G/A 1 dfs426.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* SCHULMAN (A.) INC (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 8, 2018 |
EX-24.1 Exhibit 24.1 Limited Power of Attorney Registration Statement on Form S-8 KNOW ALL MEN BY THESE PRESENTS, that the undersigned directors/officers of A. Schulman, Inc., a Delaware corporation, which is about to file with the Securities and Exchange Commission, Washington, D.C., under the provisions of the Securities Act of 1933, as amended, a Registration Statement on Form S-8 for the regis |
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| January 8, 2018 |
SHLM / Schulman (A.), Inc. S-8 S-8 1 d514661ds8.htm S-8 As filed with the Securities and Exchange Commission on January 8, 2018 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) DELAWARE 34-0514850 (State or other jurisdiction of incorporation or or |
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| January 8, 2018 |
Results of Operations and Financial Condition 8-K 1 shlm180108pressrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 8, 2018 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of |
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| January 8, 2018 |
A. Schulman Reports Strong Fiscal 2018 First Quarter Results EX-99.1 2 shlmq118newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 A. Schulman Reports Strong Fiscal 2018 First Quarter Results • Net sales increased 12% in the first quarter compared with prior year period • Segment gross margin and adjusted operating margin both improved sequentially from fourth quarter levels • Strong cash generation in the quarter with total debt reduction of $25 million, compared wi |
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| January 8, 2018 |
SHLM / Schulman (A.), Inc. 10-Q (Quarterly Report) 10-Q 1 shlm-20181130x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended November 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Comm |
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| December 8, 2017 |
Submission of Matters to a Vote of Security Holders 8-K 1 shlm-201712088k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 8, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incor |
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| December 8, 2017 |
A. Schulman, Inc. 2017 Equity Incentive Plan EX-10.1 2 shlm-20171208ex101.htm EXHIBIT 10.1 Exhibit 10.1 A. SCHULMAN, INC. 2017 EQUITY INCENTIVE PLAN The Plan is intended to foster and promote the long-term financial success of the Company and its Affiliates and to increase stockholder value by providing Participants an opportunity to acquire and maintain an ownership interest in the Company and enabling the Company and its Affiliates to attr |
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| November 13, 2017 |
SHLM / Schulman (A.), Inc. / VANGUARD GROUP INC - 3G/A (Passive Investment) SC 13G/A 1 aschulmaninc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7 )* Name of issuer: A Schulman Inc Title of Class of Securities: Common Stock CUSIP Number: 808194104 Date of Event Which Requires Filing of this Statement: October 31, 2017 Check the appropriate box to designate the rule pursuant to which th |
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| October 27, 2017 |
DEFA14A 1 d452497ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| October 27, 2017 |
DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| October 25, 2017 |
EX-99.2 3 shlmfy17q4earningssupple.htm EXHIBIT 99.2 0 38 84 229 162 38 0 119 193 157 194 75 117 167 192 83 94 125 192 77 55 127 127 127 89 89 89 1 JOE GINGO – CHAIRMAN, PRESIDENT AND CEO JOHN RICHARDSON – EVP AND CFO October 2017 A. Schulman Fiscal 2017 Fourth Quarter Earnings Call Supplemental Slides Exhibit 99.2 0 38 84 229 162 38 0 119 193 157 194 75 117 167 192 83 94 125 192 77 55 127 127 127 |
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| October 25, 2017 |
A. Schulman Reports Fiscal 2017 Fourth-Quarter and Full Year Results EX-99.1 2 shlmq417newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. Schulman Reports Fiscal 2017 Fourth-Quarter and Full Year Results • Reported fiscal 2017 fourth quarter net sales up approximately 7 percent compared with prior year period • Full year cash flow from operations remains strong at $104.7 million • Reset of business completed with streamlined structure and improved o |
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| October 25, 2017 |
Results of Operations and Financial Condition 8-K 1 shlm171025pressrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 25, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction o |
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| October 25, 2017 |
EX-10.1 2 shlm-2017083xexx101.htm EXHIBIT 10.1 Exhibit 10.1 A. SCHULMAN, INC. INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of the day of , 2017, by and between A. Schulman, Inc., a Delaware corporation (the “Company”), and (the “Indemnitee”). RECITALS WHEREAS, the Company’s Certificate of Incorporation and By-laws provide for the indemnification of directors an |
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| October 25, 2017 |
SHLM / Schulman (A.), Inc. 10-K (Annual Report) 10-K 1 shlm-20170831x10k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended August 31, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission Fil |
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| October 25, 2017 |
Powers of Attorney (filed herewith). Exhibit 24 POWER OF ATTORNEY Each director and/or officer of A. Schulman, Inc. (the “Corporation”) whose signature appears below hereby appoints JOSEPH M. GINGO, JOHN W. RICHARDSON and ANDREAN R. HORTON, and each of them, with full power of substitution and resubstitution, as attorneys or attorney to sign for the undersigned and in his or her name, place and stead, and in any and all capacities st |
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| October 25, 2017 |
Subsidiaries of the Company (filed herewith). Exhibit Exhibit 21 |
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| October 18, 2017 |
8-K 1 shlm-20171018x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 12, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of inco |
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| October 10, 2017 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 10, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 10, 2017 |
EX-10.1 2 shlm-20171010xex101.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT No. 1, dated as of October 10, 2017 (this “Amendment”), to the Credit Agreement dated as of June 1, 2015, among A. schulman, inc., a Delaware corporation (the “Company”), A. SCHULMAN HOLDINGS S.A.R.L, a private limited liability company (société à responsabilité limitée) organized and existing under the laws of Luxembourg, the o |
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| October 10, 2017 |
EX-99.1 3 shlm-20171010xex991.htm EXHIBIT 99.1 EXHIBIT 99.1 FOR IMMEDIATE RELEASE A. Schulman Announces Amendment to Credit Agreement Timely Covenant Action Provides Company with Additional Financial Flexibility AKRON, Ohio - October 10, 2017 - A. Schulman, Inc. (Nasdaq: SHLM) announced today that it has successfully completed an amendment to the Company’s credit agreement, providing the Company w |
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| September 12, 2017 |
EX-99.1 3 shlm-20170908newsrelease.htm EXHIBIT 99.1 EXHIBIT 99.1 FOR IMMEDIATE RELEASE A. Schulman to Add Carol Eicher and Allen Spizzo to the Board of Directors; Dr. William H. Joyce Appointed as Advisor to Board • A. Schulman signs cooperation agreement with Cruiser Capital and Kingdon Capital • Dr. William Joyce appointed senior advisor to the Board and consultant to the Company AKRON, Ohio, Se |
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| September 12, 2017 |
Entry into a Material Definitive Agreement 8-K 1 shlm-20179178k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 7, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incor |
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| September 12, 2017 |
Exhibit EXHIBIT 10.1 COOPERATION AGREEMENT This Cooperation Agreement (this ? Agreement ?) is made and entered into as of September 7, 2017 by and among A. Schulman, Inc., a Delaware corporation (the ? Company ?), Cruiser Capital Advisors, LLC (? Cruiser ?), Kingdon Capital Management, L.L.C. (? Kingdon ?), (each of Cruiser and Kingdon, an ? Investor ? and collectively, the ? Investors ?). The Com |
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| September 11, 2017 |
EX-99.1 2 cg969ex99-1.htm Exhibit 99.3 COOPERATION AGREEMENT This Cooperation Agreement (this “Agreement”) is made and entered into as of September 7, 2017 by and among A. Schulman, Inc., a Delaware corporation (the “Company”), Cruiser Capital Advisors, LLC (“Cruiser”), Kingdon Capital Management, L.L.C. (“Kingdon”), (each of Cruiser and Kingdon, an “Investor” and collectively, the “Investors”). T |
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| September 11, 2017 |
SHLM / Schulman (A.), Inc. / Cruiser Capital Advisors, Llc Activist Investment SC 13D/A 1 cg969.htm CUSIP No. 808194104 Page 1 of 14 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) A. SCHULMAN, INC. (Name of Issuer) Common Stock, $1.00 par value (Title of Class of Securities) 808194104 (CUSIP Number) Keith M. Rosenbloom Cruiser Capital Advisors, LLC 501 Madison Avenue, Fl |
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| September 8, 2017 |
DEFA14A 1 shlm-20179178k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 7, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of i |
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| September 8, 2017 |
EXHIBIT 10.1 COOPERATION AGREEMENT This Cooperation Agreement (this “ Agreement ”) is made and entered into as of September 7, 2017 by and among A. Schulman, Inc., a Delaware corporation (the “ Company ”), Cruiser Capital Advisors, LLC (“ Cruiser ”), Kingdon Capital Management, L.L.C. (“ Kingdon ”), (each of Cruiser and Kingdon, an “ Investor ” and collectively, the “ Investors ”). The Company and |
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| September 8, 2017 |
Press Release, dated September 8, 2017. Exhibit EXHIBIT 99.1 FOR IMMEDIATE RELEASE A. Schulman to Add Carol Eicher and Allen Spizzo to the Board of Directors; Dr. William H. Joyce Appointed as Advisor to Board ? A. Schulman signs cooperation agreement with Cruiser Capital and Kingdon Capital ? Dr. William Joyce appointed senior advisor to the Board and consultant to the Company AKRON, Ohio, September 8, 2017 - A. Schulman, Inc. (Nasdaq: |
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| August 24, 2017 |
SHLM / Schulman (A.), Inc. / Cruiser Capital Advisors, Llc Activist Investment SC 13D/A 1 cg965.htm CUSIP No. 808194104 Page 1 of 13 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) A. SCHULMAN, INC. (Name of Issuer) Common Stock, $1.00 par value (Title of Class of Securities) 808194104 (CUSIP Number) Keith M. Rosenbloom Cruiser Capital Advisors, LLC 501 Madison Avenue, Fl |
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| August 14, 2017 |
EX-99.2 3 cg960-99-2.htm EXHIBIT 99.2 COOPERATION AGREEMENT THIS COOPERATION AGREEMENT (this "Agreement"), dated as of August 8, 2017 (the "Effective Date"), is entered into by and between Cruiser Capital Advisors, LLC ("Cruiser") and Kingdon Capital Management, LLC ("Kingdon") (each, a "Party" and, collectively, the "Parties"). WHEREAS, the Parties desire to facilitate, coordinate and provide not |
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| August 14, 2017 |
SHLM / Schulman (A.), Inc. / Cruiser Capital Advisors, Llc Activist Investment CUSIP No. 808194104 Page 1 of 14 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 A. SCHULMAN, INC. (Name of Issuer) Common Stock, $1.00 par value (Title of Class of Securities) 808194104 (CUSIP Number) Keith M. Rosenbloom Cruiser Capital Advisors, LLC 501 Madison Avenue, Floor 12A New York, New York 10022 (212) 82 |
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| August 14, 2017 |
EX-99.1 2 cg960-99-1.htm EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including any and all amendments thereto) with respect to the common stock, $1.00 par value, of A. Schulman, Inc., and further agree that this Joint Fi |
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| July 20, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 20, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 20, 2017 |
A. Schulman Revises Fiscal 2017 Guidance Exhibit Exhibit 99.1 A. Schulman Revises Fiscal 2017 Guidance AKRON, Ohio - July 20, 2017 - A. Schulman, Inc. (Nasdaq: SHLM) announced today that it is lowering its full-year 2017 adjusted net income guidance range to $1.60 to $1.70 per diluted share and adjusted EBITDA to $200 to $204 million. This revision is driven by margin compression in the Company?s European business as well as weakened ope |
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| June 28, 2017 |
Schulman (A.) 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 28, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 28, 2017 |
A. Schulman Reports Fiscal 2017 Third-Quarter Results Exhibit Exhibit 99.1 A. Schulman Reports Fiscal 2017 Third-Quarter Results ? Strong performance in Asia-Pacific, Latin America and Engineered Composites offset by continued consolidation efforts in the United States and Canada region and a temporary hesitation of sales in Europe ? On GAAP basis, earnings per diluted share were $0.47 compared with $0.53 in fiscal 2016 third quarter; adjusted earnin |
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| June 28, 2017 |
SHLM / Schulman (A.), Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended May 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 0-7459 A. SCHULMAN, INC |
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| June 27, 2017 |
A. SCHULMAN TO SECURE INTERNATIONAL EXECUTIVE SEARCH FIRM TO SUPPORT CEO SUCCESSION PLAN EX-99.1 2 shlm-20170627newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN TO SECURE INTERNATIONAL EXECUTIVE SEARCH FIRM TO SUPPORT CEO SUCCESSION PLAN AKRON, Ohio - June 27, 2017 - A. Schulman, Inc. (Nasdaq: SHLM) announced today that it will retain a leading executive search firm to assist the Board of Directors and its Nominating and Governance Committee in a search for |
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| June 27, 2017 |
8-K 1 a8knewsrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 27, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorpora |
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| April 4, 2017 |
Schulman (A.) 10-Q (Quarterly Report) 10-Q 1 shlm-20170228x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended February 28, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Comm |
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| April 4, 2017 |
A. Schulman Reports Fiscal 2017 Second Quarter, First Half Results Exhibit Exhibit 99.1 A. Schulman Reports Fiscal 2017 Second Quarter, First Half Results ? On GAAP basis, earnings per diluted share were $0.11, compared with a loss of $0.01 in second quarter a year ago; adjusted earnings per diluted share were $0.31, flat on year-over-year basis ? Segment gross margin steady at 15.9%, unchanged from prior year ? Europe operating results exceeded last year despite |
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| April 4, 2017 |
Exhibit EXHIBIT 3.1 AMENDED AND RESTATED BY-LAWS OF A. SCHULMAN, INC . (as of March 30, 2017) ARTICLE I Offices Section 1. The registered office shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. The corporation may also have offices at such other places both within and without the State of Delaware as the Board of Directors may from time to time determine or t |
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| April 4, 2017 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 30, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 4, 2017 |
Exhibit 10.2 Notice of Grant of Restricted Stock Units and Incentive Stock Options [Name] Subject to the terms and conditions of the 2010 Value Creation Rewards Plan and the 2014 Equity Incentive Plan (the “Plans”), the Award Agreements, and the Summary of Performance Objectives accompanying this Notice, you have been granted awards of Restricted Stock Units and Incentive Stock Options (“Awards”) |
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| April 4, 2017 |
Exhibit 10.7 A. SCHULMAN, INC. INCENTIVE STOCK OPTION AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, 2014 Equity Incentive Plan (the “Plan”) as a means through which |
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| April 4, 2017 |
Exhibit 10.8 A. SCHULMAN, INC. NONQUALIFIED STOCK OPTION AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, 2014 Equity Incentive Plan (the “Plan”) as a means through wh |
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| April 4, 2017 |
Exhibit 10.5 A. SCHULMAN, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, the 2010 Value Creation Rewards Plan (the “2010 Plan”) and the 20 |
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| April 4, 2017 |
Exhibit 10.6 A. SCHULMAN, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on the growth of the Company’s business. To this end, the Company adopted, and its stockholders approved, the 2010 Value Creation Rewards Plan (the “2010 Plan”) and the 20 |
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| April 4, 2017 |
Exhibit 10.1 Notice of Director Equity Grant [Name] Subject to the terms and conditions of the 2010 Value Creation Rewards Plan (the “Plan”) and the Award Agreement, you have been granted an award of unrestricted Shares (“Award”), as follows: Grant Date: January 11, 2017 Number of Shares: Your Award consists of 2,331 unrestricted Whole Shares 1 Vesting Schedule: None Settlement: Your Award will be |
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| April 4, 2017 |
Exhibit 10.4 Notice of Grant of Restricted Stock Units [and Nonqualified Stock Options] [Name] Subject to the terms and conditions of the 2010 Value Creation Rewards Plan and the 2014 Equity Incentive Plan (the “Plans”) the Award Agreements, and the Summary of Performance Objectives accompanying this Notice, you have been granted an award of Restricted Stock Units [and Nonqualified Stock Options] |
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| April 4, 2017 |
Exhibit 10.3 Notice of Grant of Restricted Stock Units, Incentive Stock Options and Nonqualified Stock Options [Name] Subject to the terms and conditions of the 2010 Value Creation Rewards Plan and the 2014 Equity Incentive Plan (the “Plans”), the Award Agreements, and Summary of Performance Objectives accompanying this Notice, you have been granted awards of Restricted Stock Units, Incentive Stoc |
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| February 17, 2017 |
Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-214278 PROSPECTUS OFFER TO EXCHANGE Up to $375,000,000 aggregate principal amount of 6.875% Senior Notes due 2023 For any and all outstanding 6.875% Senior Notes due 2023 On May 26, 2015, we issued $375,000,000 aggregate principal amount of restricted 6.875% Senior Notes due 2023 in a private placement. We refer to these notes |
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| February 15, 2017 |
EX-12.1 Exhibit 12.1 A. SCHULMAN, INC. Calculation of Ratio of Earnings to Fixed Charges (Amounts in Thousands, Except Ratios) Three Months Ended November 30, Twelve months ended August 31, 2016 2016 2015 2014 2013 2012 Pretax income from continuing operations before adjustment for income or loss from equity investees $ 6,571 $ (365,945 ) $ 28,446 $ 72,422 $ 53,732 $ 66,827 Fixed charges (from bel |
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| February 15, 2017 |
As filed with the Securities and Exchange Commission on February 15, 2017 Table of Contents As filed with the Securities and Exchange Commission on February 15, 2017 Registration No. |
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| February 15, 2017 |
February 15, 2017 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Re: A. |
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| February 15, 2017 |
A. Schulman, Inc. Limited Power of Attorney Registration Statement on Form S-4 EX-24.3 4 d383510dex243.htm EX-24.3 Exhibit 24.3 A. Schulman, Inc. Limited Power of Attorney Registration Statement on Form S-4 KNOW ALL MEN BY THESE PRESENTS, that the individual whose signature appears below constitutes and appoints Joseph M. Gingo, John W. Richardson and Andrean R. Horton, and each of them, with full power to act without the other, her true and lawful attorneys-in-fact and agen |
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| February 14, 2017 |
SHLM / Schulman (A.), Inc. / Allianz Global Investors U.S. Holdings LLC - SC 13G Passive Investment OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0145 Estimated average burden hours per response. . . . . . . . . . .10.4 SCHEDULE 13G INFORMATION STATEMENT TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (b) (Amendment No. 1) A. SCHULMAN, INC. (Name of Issuer) Commo |
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| February 14, 2017 |
SC 13G/A 1 shlma321417.htm DARUMA CAPITAL MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* A. Schulman, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropria |
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| February 10, 2017 |
SHLM / Schulman (A.), Inc. / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* A Schulman Inc (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 9, 2017 |
SHLM / Schulman (A.), Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 aschulmaninc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6 )* Name of issuer: A Schulman Inc Title of Class of Securities: Common Stock CUSIP Number: 808194104 Date of Event Which Requires Filing of this Statement: December 31, 2016 Check the appropriate box to designate the rule pursuant to which t |
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| February 9, 2017 |
Schulman (A.) SCHEDULE 13G/A (Passive Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* SCHULMAN (A.) INC (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 3, 2017 |
February 3, 2017 Via EDGAR and Electronic Transmission United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4631 Washington, D. |
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| January 9, 2017 |
A. Schulman Reports Fiscal 2017 First Quarter Results EX-99.1 2 shlmq117newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. Schulman Reports Fiscal 2017 First Quarter Results • On a GAAP basis, Company reported earnings per diluted share of $0.04 compared with $0.18 in the prior year period • Adjusted earnings per diluted share were $0.49 compared with $0.50 in the prior year period • Continued reduction of debt; year-end net leverage |
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| January 9, 2017 |
SHLM / Schulman (A.), Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended November 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 0-7459 A. SCHULMAN |
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| January 9, 2017 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 9, 2017 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numb |
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| December 22, 2016 |
December 22, 2016 Via EDGAR and Electronic Transmission United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4631 Washington, D. |
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| December 12, 2016 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 9, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 16, 2016 |
8-K 1 shlm-201611168k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 16, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of inco |
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| November 16, 2016 |
EX-99.1 2 investordayslidedeckfina.htm EXHIBIT 99.1 A. SCHULMAN — INVESTOR DAY NOVEMBER 16, 2016 1 Re: SHLM A. Schulman Investor Day November 16, 2016 Exhibit 99.1 A. SCHULMAN — INVESTOR DAY NOVEMBER 16, 2016 2 A number of the matters discussed in this document that are not historical or current facts deal with potential future circumstances and developments and August constitute "forward-looking |
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| November 14, 2016 |
Costs Associated with Exit or Disposal Activities 8-K 1 shlm-201611148k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 14, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of inco |
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| October 28, 2016 |
DEF 14A 1 d238413ddef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as p |
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| October 28, 2016 |
DEFA14A 1 d238413ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as |
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| October 27, 2016 |
EX-3.15 14 d383510dex315.htm EX-3.15 Exhibit 3.15 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS FILED FROM AND INCLUDING THE RESTATED CERTIFICATE OR A MERGER WITH A RESTATED CERTIFICATE ATTACHED OF “HPC HOLDINGS, LLC” AS RECEIVED AND FILED IN THIS OFFICE. THE FOLLOWING |
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| October 27, 2016 |
CERTIFICATE OF INCORPORATION ICO P&O, INC. EX-3.21 20 d383510dex321.htm EX-3.21 Exhibit 3.21 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS ON FILE OF “ICO P&O, INC.” AS RECEIVED AND FILED IN THIS OFFICE. THE FOLLOWING DOCUMENTS HAVE BEEN CERTIFIED: CERTIFICATE OF INCORPORATION, FILED THE THIRTY-FIRST DAY OF MARC |
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| October 27, 2016 |
Office of the Secretary of State EX-3.17 16 d383510dex317.htm EX-3.17 Exhibit 3.17 Corporations Section P.O. Box 13697 Austin, Texas 78711-3697 Carlos H. Cascos Secretary of State Office of the Secretary of State The undersigned, as Secretary of State of Texas, does hereby certify that the attached is a true and correct copy of each document on file in this office as described below: ICO - Schulman, LLC Filing Number: 801198769 C |
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| October 27, 2016 |
EX-3.14 13 d383510dex314.htm EX-3.14 Exhibit 3.14 BY-LAWS OF HGGC CITADEL PLASTICS INTERMEDIATE HOLDINGS, INC., A Delaware Corporation (Adopted as of January 24, 2012) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be located at Corporation Trust Center, 1209 Orange Street, Wilmington, Delaware, County of New Castle, 19801. T |
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| October 27, 2016 |
As filed with the Securities and Exchange Commission on October 27, 2016 S-4 1 d383510ds4.htm FORM S-4 Table of Contents As filed with the Securities and Exchange Commission on October 27, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 A. Schulman, Inc.* (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 2821 (Primar |
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| October 27, 2016 |
EX-3.38 37 d383510dex338.htm EX-3.38 Exhibit 3.38 |
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| October 27, 2016 |
EX-3.22 21 d383510dex322.htm EX-3.22 Exhibit 3.22 BYLAWS OF ICO P&O, INC. A Delaware Corporation Date of Adoption: April 1, 1998 ICO P&O, INC. BYLAWS Table of Contents Page Article I Offices 1 Section 1. Registered Office 1 Section 2. Other Offices 1 Article II Stockholders 1 Section 1. Place of Meetings 1 Section 2. Quorum; Adjournment of Meetings 1 Section 3. Annual Meetings 2 Section 4. Special |
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| October 27, 2016 |
EX-25.1 46 d383510dex251.htm EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) |
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| October 27, 2016 |
BY-LAWS CITADEL PLASTICS HOLDINGS, INC. ARTICLE I EX-3.10 9 d383510dex310.htm EX-3.10 Exhibit 3.10 BY-LAWS OF CITADEL PLASTICS HOLDINGS, INC. ARTICLE I STOCKHOLDERS Section 1. Place of Stockholders’ Meetings. All meetings of the stockholders of the Corporation shall be held at such place or places, within or outside the State of Delaware, as may be fixed by the Board of Directors from time to time or as shall be specified in the respective notice |
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| October 27, 2016 |
Certificate of Incorporation of WEDCO, INC. EX-3.25 24 d383510dex325.htm EX-3.25 Exhibit 3.25 Certificate of Incorporation of WEDCO, INC. This is to certify that, there is hereby organized a corporation under and by virtue of N.J.S. 14A:1-1 at seq., the “New Jersey Business Corporation Act.” 14A:2-7 (1) (a) 1. The name of the corporation is Wedco, Inc. 14A:2-7 (1) (g) 2. The address (and zip code) of this corporation’s initial registered of |
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| October 27, 2016 |
EX-3.35 34 d383510dex335.htm EX-3.35 Exhibit 3.35 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE RESTATED CERTIFICATE OF “PREMIX HOLDING COMPANY”, FILED IN THIS OFFICE ON THE FIFTH DAY OF NOVEMBER, A.D. 2014, AT 11:20 O’CLOCK A.M. A FILED COPY OF THIS CERTIFICATE HAS BEEN FORWARDED |
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| October 27, 2016 |
EX-3.6 Exhibit 3.6 AMENDED & RESTATED BY-LAWS OF BULK MOLDING COMPOUNDS, INC. an Illinois corporation (Adopted May 9, 2005) ARTICLE I OFFICES AND RECORDS Section 1.1 Registered Office. The Corporation shall continuously maintain in the State of Illinois a registered office and a registered agent whose business office shall be the registered office. Section 1.2 Other Offices. The Corporation may ha |
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| October 27, 2016 |
Exhibit 5.3 October 27, 2016 A. Schulman, Inc. 3637 Ridgewood Road Fairlawn, Ohio 44333 Ladies and Gentlemen: We have acted as special New Jersey counsel to ICO Polymers North America, Inc., a New Jersey corporation, and Wedco Technology, Inc., a New Jersey corporation (each, a ?New Jersey Guarantor? and together, the ?New Jersey Guarantors?), in connection with the Registration Statement on Form |
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| October 27, 2016 |
CERTIFICATE OF INCORPORATION NDT ACQUISITION CORP. EX-3.27 26 d383510dex327.htm EX-3.27 Exhibit 3.27 STATE OF DELAWARE SECRETARY OF STATE DIVISION OF CORPORATIONS FILED 11:30 AM 09/20/1994 944176501 - 2435861 CERTIFICATE OF INCORPORATION OF NDT ACQUISITION CORP. 1. The name of this corporation is NDT ACQUISITION CORP. 2. The corporation’s Registered Office in the State of Delaware is to be located at 1209 Orange Street, Wilmington, New Castle Coun |
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| October 27, 2016 |
EX-3.19 18 d383510dex319.htm EX-3.19 Exhibit 3.19 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS ON FILE OF “ICO GLOBAL SERVICES, INC.” AS RECEIVED AND FILED IN THIS OFFICE. THE FOLLOWING DOCUMENTS HAVE BEEN CERTIFIED: CERTIFICATE OF INCORPORATION, FILED THE TWENTY-THIRD |
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| October 27, 2016 |
Exhibit 12.1 A. SCHULMAN, INC. Calculation of Ratio of Earnings to Fixed Charges (Amounts in Thousands, Except Ratios) Twelve months ended August 31, 2016 2015 2014 2013 2012 Pretax income from continuing operations before adjustment for income or loss from equity investees $ (365,945 ) $ 28,446 $ 72,422 $ 53,732 $ 66,827 Fixed charges (from below) 62,015 47,396 14,036 11,890 11,818 Undistributed |
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| October 27, 2016 |
EX-3.12 11 d383510dex312.htm EX-3.12 Exhibit 3.12 BY-LAWS OF HGGC CITADEL PLASTICS HOLDINGS, INC., A Delaware Corporation (Adopted as of January 24, 2012) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be located at Corporation Trust Center, 1209 Orange Street, Wilmington, Delaware, County of New Castle, 19801. The name of th |
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| October 27, 2016 |
EX-3.28 27 d383510dex328.htm EX-3.28 Exhibit 3.28 BYLAWS OF ICO TECHNOLOGY, INC. Adopted and Effective as of February 4, 1998 TABLE OF CONTENTS Page ARTICLE I OFFICES Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS Section 1. Place of Meetings 1 Section 2. Annual Meetings 1 Section 3. Special Meetings 1 Section 4. Quorum 2 Section 5. Voting 2 Section 6 |
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| October 27, 2016 |
EX-3.29 28 d383510dex329.htm EX-3.29 Exhibit 3.29 CERTIFICATE OF MERGER MERGING LPI MERGER SUB, INC., a Delaware corporation WITH AND INTO LPI HOLDING COMPANY, a Delaware corporation (Under Section 251 of the General Corporation Law of the State of Delaware) Pursuant to Section 251(c) of the General Corporation Law of the State of Delaware, as amended (the “DGCL”), LPI Holding Company, a Delaware |
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| October 27, 2016 |
Office of the Secretary of State EX-3.3 2 d383510dex33.htm EX-3.3 Exhibit 3.3 Corporations Section P.O. Box 13697 Austin, Texas 78711-3697 Carlos H. Cascos Secretary of State Office of the Secretary of State The undersigned, as Secretary of State of Texas, does hereby certify that the attached is a true and correct copy of each document on file in this office as described below: Bayshore Industrial, LLC Filing Number: 801708190 C |
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| October 27, 2016 |
EX-3.32 31 d383510dex332.htm EX-3.32 Exhibit 3.32 THIRD AMENDED AND RESTATED BY-LAWS OF LUCENT POLYMERS INC. A Delaware corporation (Adopted as of December 6, 2013) ARTICLE I OFFICES Section 1 Registered Office. The registered office of the corporation in the State of Delaware shall be located at 160 Greentree Drive, Suite 101, City of Dover, County of Kent, Delaware 19904. The name of the corpora |
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| October 27, 2016 |
INDIANA SECRETARY OF STATE BUSINESS SERVICES DIVISION CORPORATIONS CERTIFIED COPIES EX-3.37 36 d383510dex337.htm EX-3.37 Exhibit 3.37 INDIANA SECRETARY OF STATE BUSINESS SERVICES DIVISION CORPORATIONS CERTIFIED COPIES INDIANA SECRETARY OF STATE BUSINESS SERVICES DIVISION 302 West Washington Street, Room E018 Indianapolis, IN 46204 http://www.sos.in.gov April 22, 2015 Company Requested: THE MATRIXX GROUP, INCORPORATED Control Number: 198412-300 Date Transaction # Pages 12/10/1984 |
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| October 27, 2016 |
EX-99.1 47 d383510dex991.htm EX-99.1 Exhibit 99.1 A. SCHULMAN, INC. LETTER OF TRANSMITTAL Offer to Exchange Up to $375,000,000 Aggregate Principal Amount of Newly Issued 6.875% Senior Notes due 2023 (CUSIP No. 808194 AB0) For a Like Principal Amount of Outstanding Restricted 6.875% Senior Notes due 2023 Issued on May 26, 2015 (CUSIP Nos. 808194 AA2, U8067L AA1) THE EXCHANGE OFFER WILL EXPIRE AT 9: |
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| October 27, 2016 |
EX-3.9 8 d383510dex39.htm EX-3.9 Exhibit 3.9 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS FILED FROM AND INCLUDING THE RESTATED CERTIFICATE OR A MERGER WITH A RESTATED CERTIFICATE ATTACHED OF “CITADEL PLASTICS HOLDINGS, INC.” AS RECEIVED AND FILED IN THIS OFFICE. THE F |
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| October 27, 2016 |
Exhibit 3.24 BYLAWS OF ICO POLYMERS, INC. Adopted and Effective as of January 20, 1998 TABLE OF CONTENTS Page ARTICLE I OFFICES Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS Section 1. Place of Meetings 1 Section 2. Annual Meetings 1 Section 3. Special Meetings 1 Section 4. Quorum 2 Section 5. Voting 2 Section 6. List of Stockholders Entitled to Vote |
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| October 27, 2016 |
EX-3.20 19 d383510dex320.htm EX-3.20 Exhibit 3.20 BYLAWS OF ICO GLOBAL SERVICES, INC. A Delaware Corporation Date of Adoption: April 1, 1998 ICO GLOBAL SERVICES, INC. BYLAWS Table of Contents Page Article I Offices 1 Section 1. Registered Office 1 Section 2. Other Offices 1 Article II Stockholders 1 Section 1. Place of Meetings 1 Section 2. Quorum; Adjournment of Meetings 1 Section 3. Annual Meeti |
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| October 27, 2016 |
SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT HPC HOLDINGS, LLC EX-3.16 15 d383510dex316.htm EX-3.16 Exhibit 3.16 SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF HPC HOLDINGS, LLC This Second Amended and Restated Limited Liability Company Agreement (this “Restated Agreement”) of HPC Holdings, LLC, a Delaware limited liability company (the “Company”), is entered into, as of November 5, 2014, by and between the Company and Bulk Molding Compoun |
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| October 27, 2016 |
A. Schulman, Inc. Limited Power of Attorney Registration Statement on Form S-4 EX-24.1 45 d383510dex241.htm EX-24.1 Exhibit 24.1 A. Schulman, Inc. Limited Power of Attorney Registration Statement on Form S-4 KNOW ALL MEN BY THESE PRESENTS, that the individuals whose signatures appear below constitute and appoint Joseph M. Gingo, Joseph J. Levanduski and Andrean R. Horton, and each of them, with full power to act without the other, his true and lawful attorneys-in-fact and ag |
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| October 27, 2016 |
EX-3.13 12 d383510dex313.htm EX-3.13 Exhibit 3.13 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS ON FILE OF “HGGC CITADEL PLASTICS INTERMEDIATE HOLDINGS, INC.” AS RECEIVED AND FILED IN THIS OFFICE. THE FOLLOWING DOCUMENTS HAVE BEEN CERTIFIED: CERTIFICATE OF INCORPORATION |
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| October 27, 2016 |
State of Delaware Office of the Secretary of State EX-3.23 22 d383510dex323.htm EX-3.23 Exhibit 3.23 State of Delaware Office of the Secretary of State I, EDWARD J. FREEL, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF INCORPORATION OF “ICO POLYMERS, INC.”, FILED IN THIS OFFICE ON THE TWENTIETH DAY OF JANUARY, A.D. 1998, AT 10 O’CLOCK A.M. Edward J. Freel, Secretary of S |
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| October 27, 2016 |
CODE OF REGULATIONS PREMIX, INC. ARTICLE I Meetings of Shareholders EX-3.34 33 d383510dex334.htm EX-3.34 Exhibit 3.34 CODE OF REGULATIONS OF PREMIX, INC. ARTICLE I Meetings of Shareholders Section 1. Annual Meetings. The annual meeting of shareholders shall be held at such time and on such date in each year as may be fixed by the Board of Directors and stated in the notice of the meeting, for the election of directors, the consideration of reports to be laid befor |
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| October 27, 2016 |
EX-3.39 38 d383510dex339.htm EX-3.39 Exhibit 3.39 CERTIFICATE OF INCORPORATION OF W ACQUISITION CORP. (Title 14A: 2-7 New Jersey Business Corporation Act) This is to certify that there is hereby organized a corporation under and by virtue of the above-noted statute of the New Jersey Statutes. 1. The name of the corporation shall be W Acquisition Corp. 2. The purpose for which this corporation is o |
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| October 27, 2016 |
EX-3.5 4 d383510dex35.htm EX-3.5 Exhibit 3.5 File Number 5538-098-8 To all to whom these Presents Shall Come, Greeting: I, Jesse White, Secretary of State of the State of Illinois, do hereby certify that I am the keeper of the records of the Department of Business Services. I certify that THE FOREGOING AND HERETO ATTACHED IS A TRUE AND CORRECT COPY, CONSISTING OF 08 PAGES, AS TAKEN FROM THE ORIGIN |
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| October 27, 2016 |
October 27, 2016 Correspondence Filing Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 27, 2016 |
EX-3.31 30 d383510dex331.htm EX-3.31 Exhibit 3.31 State of Delaware Secretary of State Division of Corporations Delivered 02:36 PM 06/21/2005 FILED 02:26 PM 06/21/2005 SRV 050515649 – 3988723 FILE CERTIFICATE OF INCORPORATION OF LUCENT ACQUISITION CORPORATION I, the undersigned, for the purpose of incorporating and organizing a corporation under the General Corporation Law of the State of Delaware |
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| October 27, 2016 |
EX-3.36 35 d383510dex336.htm EX-3.36 Exhibit 3.36 SECOND AMENDED AND RESTATED BY-LAWS OF PREMIX HOLDING COMPANY A Delaware corporation (Adopted as of November 5, 2014) ARTICLE I OFFICES Section 1 Registered Office. The registered office of the corporation in the State of Delaware shall be located at Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County of New Castle, Dela |
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| October 27, 2016 |
COMPANY AGREEMENT BAYSHORE INDUSTRIAL, LLC EX-3.4 3 d383510dex34.htm EX-3.4 Exhibit 3.4 COMPANY AGREEMENT OF BAYSHORE INDUSTRIAL, LLC THIS COMPANY AGREEMENT (this “Agreement”), by ICO Global Services, Inc. (the “Member”), dated as of December 31, 2012; W I T N E S S E T H: WHEREAS, the Member desires to confirm the filing with the Texas Secretary of State of the Certificate of Formation (the “Certificate”) of BAYSHORE INDUSTRIAL, LLC, a Te |
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| October 27, 2016 |
BY-LAWS W ACQUISITION CORP. ARTICLE I Fiscal Year Exhibit 3.40 BY-LAWS OF W ACQUISITION CORP. ARTICLE I Fiscal Year Unless otherwise designated by the Board of Directors, the first fiscal year of the Corporation after the adoption of these By-Laws shall end the 31st day of December, 1995. Subsequently, the fiscal year of the Corporation shall commence on the 1st day of January, 1996, or be such other period as the Board of Directors may designate |
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| October 27, 2016 |
AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CITADEL INTERMEDIATE HOLDINGS, LLC EX-3.8 Exhibit 3.8 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CITADEL INTERMEDIATE HOLDINGS, LLC This Amended and Restated Limited Liability Company Agreement (this “Agreement”) of Citadel Intermediate Holdings, LLC, a Delaware limited liability company (the “Company”), is made effective as of February 29, 2012, by Citadel Plastics Holdings, Inc., a Delaware corporation (the “Sole |
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| October 27, 2016 |
EX-3.33 32 d383510dex333.htm EX-3.33 Exhibit 3.33 RECEIPT AND CERTIFICATE No. 16310 PREMIX, INC. NAME 283197 NUMBER DOMESTIC CORPORATIONS ARTICLES OF INCORPORATION AMENDMENT MERGER/CONSOLIDATION DISSOLUTION AGENT RE-INSTATEMENT CERTIFICATES OF CONTINUED EXISTENCE MISCELLANEOUS FOREIGN CORPORATIONS LICENSE AMENDMENT SURRENDER OF LICENSE APPOINTMENT OF AGENT CHANGE OF PRINCIPAL OFFICE RE-INSTATEMENT |
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| October 27, 2016 |
Exhibit 3.18 WILDCAT SPIDER, LLC (a Texas Limited Liability Company) LIMITED LIABILITY COMPANY AGREEMENT THE MEMBERSHIP INTERESTS REFERENCED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, NOR PURSUANT TO THE PROVISIONS OF ANY STATE SECURITIES LAW. LIMITED LIABILITY COMPANY AGREEMENT OF WILDCAT SPIDER, LLC This Limited Liability Company Agreement (this ?Agreement?) of |
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| October 27, 2016 |
EX-3.11 10 d383510dex311.htm EX-3.11 Exhibit 3.11 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS ON FILE OF “HGGC CITADEL PLASTICS HOLDINGS, INC.” AS RECEIVED AND FILED IN THIS OFFICE. THE FOLLOWING DOCUMENTS HAVE BEEN CERTIFIED: CERTIFICATE OF INCORPORATION, FILED THE T |
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| October 27, 2016 |
BY-LAWS WEDCO, INC. ARTICLE I STOCKHOLDERS’ MEETINGS EX-3.26 25 d383510dex326.htm EX-3.26 Exhibit 3.26 BY-LAWS OF WEDCO, INC. ARTICLE I STOCKHOLDERS’ MEETINGS SECTION 1. Annual Meetings. The annual meetings of the stockholders of the corporation, commencing with the year 1984, shall be held at such place within or without the State of New Jersey as may be fixed by resolution of the Board of Directors and as shall be designated in the notice of said |
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| October 27, 2016 |
EX-3.7 6 d383510dex37.htm EX-3.7 Exhibit 3.7 Delaware PAGE 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED ARE TRUE AND CORRECT COPIES OF ALL DOCUMENTS ON FILE OF “CITADEL INTERMEDIATE HOLDINGS, LLC” AS RECEIVED AND FILED IN THIS OFFICE. THE FOLLOWING DOCUMENTS HAVE BEEN CERTIFIED: CERTIFICATE OF FORMATION, FILED THE TENTH DAY OF |
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| October 27, 2016 |
EX-3.30 29 d383510dex330.htm EX-3.30 Exhibit 3.30 THIRD AMENDED AND RESTATED BY-LAWS OF LPI HOLDING COMPANY A Delaware corporation (Adopted as of December 6, 2013) ARTICLE I OFFICES Section 1 Registered Office. The registered office of the corporation in the State of Delaware shall be located at 160 Greentree Drive, Suite 101, City of Dover, County of Kent, Delaware 19904. The name of the corporat |
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| October 26, 2016 |
EX-24 5 shlm-20160831ex24.htm EXHIBIT 24 Exhibit 24 POWER OF ATTORNEY Each director and/or officer of A. Schulman, Inc. (the “Corporation”) whose signature appears below hereby appoints JOSEPH M. GINGO, JOSEPH J. LEVANDUSKI and ANDREAN R. HORTON, and each of them, with full power of substitution and resubstitution, as attorneys or attorney to sign for the undersigned and in his or her name, place |
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| October 26, 2016 |
EX-4.3 2 shlm-20160831ex43.htm EXHIBIT 4.3 Exhibit 4.3 SECOND SUPPLEMENTAL INDENTURE Second Supplemental Indenture (this “Second Supplemental Indenture”), dated as of August 31, 2016, among A. Schulman, Inc., a Delaware corporation (the “Issuer”), each of the undersigned subsidiaries of the Issuer (each, a “Guaranteeing Subsidiary” and, collectively, the “Guaranteeing Subsidiaries”) and U.S. Bank |
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| October 26, 2016 |
EX-99.2 3 shlm4q16slidedeckfinalv3.htm EXHIBIT 99.2 A. Schulman Fiscal 2016 Fourth Quarter & Full Year Earnings Call Supplemental Slides Joe Gingo – Chairman, President and CEO Joe Levanduski – EVP and CFO John Richardson – EVP, Finance (CFO as of Nov. 1, 2016) October 26, 2016 Exhibit 99.2 A number of the matters discussed in this document that are not historical or current facts deal with potent |
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| October 26, 2016 |
Exhibit 21 Subsidiaries of A. Schulman, Inc. Name Jurisdiction of Incorporation/Organization Surplast S.A. (30) Argentina Courtenay Polymers Pty Ltd. (26) Australia A. Schulman Australia Pty. Ltd (21) Australia ICO Australia RE Holdings Pty. Ltd. (27) Australia A. Schulman Plastics Pty. Ltd. (5) Australia A. Schulman Plastics, BVBA (10) Belgium A. Schulman International Services BVBA (10) Belgium |
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| October 26, 2016 |
A. Schulman Reports Fiscal 2016 Fourth Quarter, Full-Year Results EX-99.1 2 shlmq416newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. Schulman Reports Fiscal 2016 Fourth Quarter, Full-Year Results • On a GAAP basis, Company reported a $401.7 million non-cash asset impairment charge primarily related to the Citadel acquisition and a net loss for fiscal 2016 fourth quarter and full year of $385.1 million and $364.6 million respectively • Delivered |
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| October 26, 2016 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 26, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 26, 2016 |
SHLM / Schulman (A.), Inc. 10-K - Annual Report - 10-K 10-K 1 shlm-2016083110k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended August 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File |
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| October 24, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 21, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission |
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| October 17, 2016 |
SEVERANCE AGREEMENT AND GENERAL RELEASE EX-10.1 2 shlm-20161017exh101.htm EXHIBIT 10.1 EXHIBIT 10.1 SEVERANCE AGREEMENT AND GENERAL RELEASE The parties to this Severance Agreement and General Release ("Agreement") are A. Schulman, Inc., a Delaware corporation (“Company”), its affiliates, parents, successors, predecessors, and subsidiaries, (hereinafter collectively referred to as "Company"), and Bernard Rzepka, an employee of Company, ( |
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| October 17, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 14, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 7, 2016 |
Schulman (A.) 8-K/A (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 7, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commissio |
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| October 7, 2016 |
Exhibit EXHIBIT 10.1 SEVERANCE AGREEMENT AND GENERAL RELEASE This Severance Agreement and General Release ("Agreement") by and between A. Schulman, Inc. , a Delaware corporation, its affiliates, parents, successors, predecessors, and subsidiaries (hereinafter collectively referred to as "Company"), and Joseph J. Levanduski , an employee of Company, (hereinafter referred to as "Employee"), is execu |
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| October 3, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 30, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commissi |
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| October 3, 2016 |
EXHIBIT 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of the 30th day of September, 2016 by and between A. SCHULMAN, INC., a Delaware corporation (the “Employer” or “Company”), and JOHN RICHARDSON (the “Employee”), to be effective the 1 st day of October, 2016. WHEREAS, the Company intends to employ the employee, and the Employee intends to beco |
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| October 3, 2016 |
A. Schulman Names John W. Richardson to Succeed Joseph J. Levanduski as Chief Financial Officer Exhibit Exhibit 99.1 FOR IMMEDIATE RELEASE A. Schulman Names John W. Richardson to Succeed Joseph J. Levanduski as Chief Financial Officer AKRON, Ohio - October 3, 2016 - A. Schulman, Inc. (Nasdaq: SHLM), a leading supplier of high-performance plastic compounds, powders and resins, today announced that John. W. Richardson has joined the Company initially as Executive Vice President - Finance. He w |
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| September 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 22, 2016 |
Exhibit EXHIBIT 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this "Agreement") is made and entered into as of the 22 nd day of September, 2016 by and between A. SCHULMAN, INC., a Delaware corporation (the "Employer" or "Company"), and Joseph M. Gingo (the "Employee"). WHEREAS, Employee previously served the Company or the Companies (as defined herein) as its President and Chief Executive O |
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| September 22, 2016 |
Exhibit EXHIBIT 10.3 CHANGE IN CONTROL AGREEMENT This Change in Control Agreement (this ?Agreement? ) between (the ?Employee? ) and A. Schulman, Inc., a Delaware corporation (the ?Corporation? ), is effective as of September 22, 2016 ( ?Effective Date? ). WHEREAS , the Employee currently is employed by the Corporation; and WHEREAS , in order to induce the Employee to remain in the employ of the Co |
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| September 22, 2016 |
8-K 1 shlm20169228k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 22, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incor |
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| September 22, 2016 |
Exhibit THIS AGREEMENT CONSTITUTES PART OF A PROSPECTUS COVERING SECURITIES REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. |
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| September 14, 2016 |
8-K 1 shlm-201609148k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 14, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of inc |
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| September 14, 2016 |
EX-99.1 2 shlmkeybanccapitalmarket.htm EXHIBIT 99.1 0 38 84 229 162 38 0 119 193 157 194 75 117 167 192 83 94 125 192 77 55 127 127 127 89 89 89 KeyBanc Capital Markets’ Basic Materials & Packaging Conference September 14, 2016 0 38 84 229 162 38 0 119 193 157 194 75 117 167 192 83 94 125 192 77 55 127 127 127 89 89 89 A number of the matters discussed in this document that are not historical or c |
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| August 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 22, 2016 |
EX-99.1 2 shlm20160822newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN PROMOTES GARY A. MILLER TO CHIEF OPERATING OFFICER; NAMES FRANK ROEDERER GENERAL MANAGER OF USCAN BUSINESS Akron, OH - August 22, 2016 - A. Schulman, Inc. (Nasdaq: SHLM), a leading international supplier of high-performance plastic compounds, powders and resins, today announced that Gary A. Miller has |
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| August 22, 2016 |
EX-99.1 2 shlm20160822newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN PROMOTES GARY A. MILLER TO CHIEF OPERATING OFFICER; NAMES FRANK ROEDERER GENERAL MANAGER OF USCAN BUSINESS Akron, OH - August 22, 2016 - A. Schulman, Inc. (Nasdaq: SHLM), a leading international supplier of high-performance plastic compounds, powders and resins, today announced that Gary A. Miller has |
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| August 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 19, 2016 |
Schulman (A.) 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission |
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| August 19, 2016 |
SEVERANCE AGREEMENT AND GENERAL RELEASE Exhibit Exhibit 10.1 SEVERANCE AGREEMENT AND GENERAL RELEASE This Severance Agreement and General Release ("Agreement") by and between A. Schulman, Inc. , a Delaware corporation, its affiliates, parents, successors, predecessors, and subsidiaries (hereinafter collectively referred to as "Company"), and David C. Minc , an employee of Company, (hereinafter referred to as "Employee"), is executed thi |
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| August 19, 2016 |
EX-99.1 4 shlmq819newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE ANDREAN HORTON NAMED EXECUTIVE VICE PRESIDENT AND CHIEF LEGAL OFFICER FOR A. SCHULMAN; DAVID MINC TO RETIRE AT THE END OF FISCAL 2016 Akron, Ohio - August 19, 2016 - A. Schulman, Inc. (Nasdaq: SHLM), a leading international supplier of high-performance plastic compounds, powders and resins, today announced the appoin |
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| August 19, 2016 |
SEVERANCE AGREEMENT AND GENERAL RELEASE Exhibit Exhibit 10.1 SEVERANCE AGREEMENT AND GENERAL RELEASE This Severance Agreement and General Release ("Agreement") by and between A. Schulman, Inc. , a Delaware corporation, its affiliates, parents, successors, predecessors, and subsidiaries (hereinafter collectively referred to as "Company"), and David C. Minc , an employee of Company, (hereinafter referred to as "Employee"), is executed thi |
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| August 19, 2016 |
EX-99.1 4 shlmq819newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE ANDREAN HORTON NAMED EXECUTIVE VICE PRESIDENT AND CHIEF LEGAL OFFICER FOR A. SCHULMAN; DAVID MINC TO RETIRE AT THE END OF FISCAL 2016 Akron, Ohio - August 19, 2016 - A. Schulman, Inc. (Nasdaq: SHLM), a leading international supplier of high-performance plastic compounds, powders and resins, today announced the appoin |
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| August 19, 2016 |
Exhibit Exhibit 10.2 CONSULTING PROJECT AGREEMENT This Consulting Project Agreement (“ Project Agreement ”), effective September 1, 2016, is made by and between A. Schulman, Inc. (“ Company ”) and David C. Minc (“ Consultant ”) (Company and Consultant are referred to herein individually as a “ Party ” and collectively as the “ Parties ”). WHEREAS , Consultant was the Company’s EVP & CLO and posses |
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| August 19, 2016 |
Schulman (A.) 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission |
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| August 19, 2016 |
Exhibit Exhibit 10.2 CONSULTING PROJECT AGREEMENT This Consulting Project Agreement (“ Project Agreement ”), effective September 1, 2016, is made by and between A. Schulman, Inc. (“ Company ”) and David C. Minc (“ Consultant ”) (Company and Consultant are referred to herein individually as a “ Party ” and collectively as the “ Parties ”). WHEREAS , Consultant was the Company’s EVP & CLO and posses |
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| August 18, 2016 |
CHAIRMAN JOSEPH M. GINGO NAMED CHIEF EXECUTIVE OFFICER AND PRESIDENT EX-99.1 2 shlmq818newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE CHAIRMAN JOSEPH M. GINGO NAMED CHIEF EXECUTIVE OFFICER AND PRESIDENT • Gingo to Initiate Comprehensive Review of Company’s Business Plan and Global End Markets in Light of Fiscal 2016 Performance • Board and Bernard Rzepka, President and Chief Executive Officer, Have Mutually Agreed He Will Relinquish His Officer Rol |
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| August 18, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 18, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 11, 2016 |
A. SCHULMAN LOWERS FULL-YEAR FISCAL 2016 EARNINGS GUIDANCE EX-99.1 2 shlm160811newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN LOWERS FULL-YEAR FISCAL 2016 EARNINGS GUIDANCE AKRON, OH - August 11, 2016 - A. Schulman, Inc. (Nasdaq-GS: SHLM), a leading international supplier of high-performance plastic compounds, composites, powders and resins, today announced that it has lowered its full-year 2016 adjusted net income guidance ra |
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| August 11, 2016 |
8-K 1 shlm160811pressrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 11, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of |
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| June 28, 2016 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 28, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 28, 2016 |
A. Schulman Reports Fiscal 2016 Third Quarter Results EX-99.1 2 shlmq316newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. Schulman Reports Fiscal 2016 Third Quarter Results • Consolidated gross profit and operating income increased by 20.6% and 35.8%, respectively, versus the prior year period • Strong cash flow and aggressive debt reduction during the quarter • Lucent matter addressed operationally; lawsuit filed against sellers to |
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| June 28, 2016 |
SHLM / Schulman (A.), Inc. 10-Q - Quarterly Report - 10-Q 10-Q 1 shlm-2016531x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended May 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission |
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| May 11, 2016 |
8-K 1 shlm2016511.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 9, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) |
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| April 5, 2016 |
SHLM / Schulman (A.), Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended February 29, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 0-7459 A. SCHULMAN |
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| April 5, 2016 |
Notice of Director Equity Grant [Name] Exhibit 10.5 Notice of Director Equity Grant [Name] Subject to the terms and conditions of the Amended and Restated 2006 Incentive Plan (the “Plan”) and the Award Agreement, you have been granted an award of unrestricted Shares (“Award”), as follows: Grant Date: January 13, 2016 Number of Shares: Your Award consists of 2,736 unrestricted Whole Shares 1 Vesting Schedule: None Settlement: Your Award |
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| April 5, 2016 |
Exhibit 10.4 THIS AGREEMENT CONSTITUTES PART OF A PROSPECTUS COVERING SECURITIES REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THE SHARES OF THE COMPANY ARE LISTED ON THE NASDAQ STOCK MARKET. A. SCHULMAN, INC. AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on |
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| April 5, 2016 |
A. SCHULMAN REPORTS FISCAL 2016 SECOND QUARTER RESULTS EX-99.1 2 shlmq216newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN REPORTS FISCAL 2016 SECOND QUARTER RESULTS • Fiscal second quarter 2016 reported earnings per share from continuing operations were a loss of $0.02, compared with a loss of $0.03 in the prior year period; adjusted earnings were $0.31 per share, compared with $0.39 per share in the fiscal 2015 second quart |
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| April 5, 2016 |
Results of Operations and Financial Condition 8-K 1 shlm160405pressrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 5, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of i |
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| April 5, 2016 |
Exhibit 10.3 Notice of Grant of Restricted Stock and Restricted Stock Units [Name] Subject to the terms and conditions of the Amended and Restated 2006 Incentive Plan and the 2014 Equity Incentive Plan (the “Plans”), the Award Agreement, and Summary of Performance Objectives attached hereto, you have been granted an award of Shares of Restricted Stock and Restricted Stock Units (“Awards”), as foll |
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| April 5, 2016 |
Exhibit 10.2 THIS AGREEMENT CONSTITUTES PART OF A PROSPECTUS COVERING SECURITIES REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THE SHARES OF THE COMPANY ARE LISTED ON THE NASDAQ STOCK MARKET. A. SCHULMAN, INC. AWARD AGREEMENT A. Schulman, Inc. (the “Company”) believes that its business interests are best served by extending to you an opportunity to earn additional compensation based on |
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| April 5, 2016 |
Exhibit 10.1 Notice of Grant of Restricted Stock Units [Name] Subject to the terms and conditions of the Amended and Restated 2006 Incentive Plan and the 2014 Equity Incentive Plan (the “Plans”), the Award Agreement, and Summary of Performance Objectives attached hereto, you have been granted an award of Restricted Stock Units (“Awards”), as follows: Grant Date: January 13, 2016 Number of Shares: |
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| March 14, 2016 |
Regulation FD Disclosure, Results of Operations and Financial Condition 8-K 1 shlm160314pressrelease.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 14, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of |
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| March 14, 2016 |
A. SCHULMAN REVISES FULL-YEAR FISCAL 2016 ADJUSTED EARNINGS GUIDANCE EX-99.1 2 shlm160314newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN REVISES FULL-YEAR FISCAL 2016 ADJUSTED EARNINGS GUIDANCE AKRON, Ohio - March 14, 2016 - A. Schulman, Inc. (Nasdaq-GS: SHLM), a leading international supplier of high-performance plastic compounds, composites, powders and resins, today announced that the Company has lowered its full-year fiscal 2016 adju |
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| February 16, 2016 |
SHLM / Schulman (A.), Inc. / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* A Schulman Inc (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 12, 2016 |
SHLM / Schulman (A.), Inc. / Allianz Global Investors U.S. Holdings LLC - SC 13G Passive Investment OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0145 Estimated average burden hours per response. . . . . . . . . . .10.4 SCHEDULE 13G INFORMATION STATEMENT TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (b) A. SCHULMAN, INC. (Name of Issuer) Common Stock (Title of |
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| February 12, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* A. Schulman, Inc. (Name of Issuer) Common Stock, $1 par value (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| February 10, 2016 |
SHLM / Schulman (A.), Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 ashulmaninc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5 )* Name of issuer: A Schulman Inc Title of Class of Securities: Common Stock CUSIP Number: 808194104 Date of Event Which Requires Filing of this Statement: December 31, 2015 Check the appropriate box to designate the rule pursuant to which th |
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| February 9, 2016 |
Schulman (A.) 3G/A (Passive Acquisition of More Than 5% of Shares) asch15a4.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 808194104 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* A. SCHULMAN, INC. (Name of Issuer) Common Stock, $1.00 Par Value (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2015 (Date of Event Which |
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| February 9, 2016 |
SHLM / Schulman (A.), Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment SC 13G/A 1 rrd470.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* SCHULMAN (A.) INC (Name of Issuer) Common Stock (Title of Class of Securities) 808194104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 11, 2016 |
SHLM / Schulman (A.), Inc. 10-Q - Quarterly Report - 10-Q 10-Q 1 shlm-20161130x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended November 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Comm |
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| January 11, 2016 |
A. SCHULMAN REPORTS FISCAL 2016 FIRST QUARTER RESULTS EX-99.1 2 shlmq116newsrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE A. SCHULMAN REPORTS FISCAL 2016 FIRST QUARTER RESULTS • Fiscal first quarter GAAP earnings per share were $0.18 compared with $0.45 in the prior year. Adjusted earnings were $0.50 per share, compared with $0.63 per share in the fiscal 2015 first quarter. • Adjusted EBITDA rose 44% to $57.9 million, compared with $40. |
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| January 11, 2016 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 11, 2016 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Num |
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| December 11, 2015 |
Submission of Matters to a Vote of Security Holders 8-K 1 shlm2015121115.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 11, 2015 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incor |
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| November 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 30, 2015 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 30, 2015 A. SCHULMAN, INC. (Exact name of registrant as specified in its charter) Delaware 0-7459 34-0514850 (State or other jurisdiction of incorporation) |
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| October 29, 2015 |
DEF 14A 1 d80721ddef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as pe |
