Initial Statement of Beneficial Ownership (3)
February 17 2017 - 9:31AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
*
Cruz Sergio
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/7/2017
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3. Issuer Name
and
Ticker or Trading Symbol
KIMBERLY CLARK CORP [KMB]
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(Last)
(First)
(Middle)
P.O. BOX 619100
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
President, Latin America /
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(Street)
DALLAS, TX 75261-9100
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Share Units 04/29/2015 (w/dividends reinvested)
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(1)
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(1)
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Common Stock
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990.4458
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$0.0000
(2)
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D
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Stock Option (Right to Buy)
(3)
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(4)
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4/30/2024
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Common Stock
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6744.0000
(5)
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$107.5054
(5)
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D
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Stock Option (Right to Buy)
(3)
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(4)
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4/29/2025
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Common Stock
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7225.0000
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$110.7200
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D
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Stock Option (Right to Buy)
(3)
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(4)
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5/3/2026
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Common Stock
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6937.0000
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$126.1300
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D
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Explanation of Responses:
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(
1)
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The restricted share units will vest on April 29, 2018.
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(
2)
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Represents restricted share units payable on a 1-for-1 basis, granted under the Kimberly-Clark Corporation 2011 Equity Participation Plan. Additional restricted share units are accrued based on dividends paid on the Corporation's common stock.
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(
3)
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Employee stock option granted under the Kimberly-Clark Corporation 2011 Equity Participation Plan.
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(
4)
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In general, no option may be exercised until one year after it has been granted; after the end of one year, it may be exercised as to 30 percent or less of the total shares subject to options, after the end of the second year, an additional 30 percent, and after the end of the third year, all options may be exercised.
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(
5)
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All historical share and stock option exercise price data in this Form 4 have been adjusted to reflect the Corporation's spin-off of its wholly owned subsidiary Halyard Health, Inc. on October 31, 2014. The adjustments were made to preserve the intrinsic value of the reporting person's stock options existing prior to the spin-off.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Cruz Sergio
P.O. BOX 619100
DALLAS, TX 75261-9100
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President, Latin America
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Signatures
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/s/ Jeffrey S. McFall as attorney-in-fact for Sergio Cruz
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2/16/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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