Statement of Changes in Beneficial Ownership (4)
02 Março 2023 - 08:33PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Champion Christopher
O |
2. Issuer Name and Ticker or Trading
Symbol OCCIDENTAL PETROLEUM CORP /DE/ [ OXY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
VP, CAO and Controller |
(Last)
(First)
(Middle)
OCCIDENTAL PETROLEUM CORPORATION, 5 GREENWAY PLAZA, SUITE
110 |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/28/2023
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(Street)
HOUSTON, TX 77046
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
2/28/2023 |
|
F(1) |
|
4977 |
D |
$58.56 |
47996 |
D |
|
Common Stock |
3/1/2023 |
|
A(2) |
|
11724 |
A |
$0 |
59720 |
D |
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Common Stock |
|
|
|
|
|
|
|
2096 (3) |
I |
By OPC Savings Plan |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Represents shares of common
stock withheld to satisfy tax withholding obligations upon the
vesting of previously reported restricted stock units. |
(2) |
Award of restricted stock
units (RSUs) pursuant to the Issuer's Amended and Restated 2015
Long-Term Incentive Plan. Each RSU represents a contingent right to
receive one share of the Issuer's common stock upon vesting. The
RSUs will vest in three equal annual installments beginning on
February 29, 2024. |
(3) |
Based on a plan statement
dated February 28, 2023. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Champion Christopher O
OCCIDENTAL PETROLEUM CORPORATION
5 GREENWAY PLAZA, SUITE 110
HOUSTON, TX 77046 |
|
|
VP, CAO and Controller |
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Signatures
|
/s/ Brittany A. Smith, Attorney-in-Fact for
Christopher O. Champion |
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3/2/2023 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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