Statement of Changes in Beneficial Ownership (4)
December 31 2020 - 4:20PM
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).
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
*
Brooks Catherine A. |
2. Issuer Name and Ticker or Trading Symbol
CONOCOPHILLIPS
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COP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
VP & Controller |
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(Last)
(First)
(Middle)
16930 PARK ROW DR. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/29/2020 |
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(Street)
HOUSTON, TX 77084
(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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 12/29/2020 | | M | | 128 | A | (1) | 3514 | D | |
| Common Stock | 12/29/2020 | | F | | 128 | D | $39.355 | 3386 | D | |
| Common Stock | 12/29/2020 | | M | | 91 | A | (1) | 3477 | D | |
| Common Stock | 12/29/2020 | | F | | 91 | D | $39.355 | 3386 | D | |
| Common Stock | 12/29/2020 | | M | | 125 | A | (1) | 3511 | D | |
| Common Stock | 12/29/2020 | | F | | 125 | D | $39.355 | 3386 | D | |
| Common Stock | | | | | | | | 2.39 (2) | I | By ConocoPhillips Savings Plan |
| Common Stock | | | | | | | | 130 (3) | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
| Stock Units | (4) | 12/29/2020 | | M | | | 128 (5) | (6) | (7) | Common Stock | 128 | $0.00 | 4107 | D | |
| Stock Units | (4) | 12/29/2020 | | M | | | 91 (5) | (8) | (7) | Commons Stock | 91 | $0.00 | 2921.2428 (9) | D | |
| Stock Units | (4) | 12/29/2020 | | M | | | 125 (5) | (10) | (7) | Common Stock | 125 | $0.00 | 4023.2863 (9) | D | |
| Explanation of Responses: |
| (1) | Each stock unit was the economic equivalent of one share of common stock. |
| (2) | Includes units acquired through routine dividend transactions that are exempt under rule 16a-11 and through a qualified plan that are exempt under rule 16b-3. |
| (3) | The reporting person disclaims beneficial ownership of her spouse's shares to the extent she does not have a pecuniary interest in such shares. |
| (4) | The stock units represent ConocoPhillips common stock on a 1-for-1 basis. |
| (5) | Reflects partial lapsing of restrictions on RSU grant to cover FICA obligation and associated income taxes for retirement eligible employees. |
| (6) | The stock units grant settles 3 years from February 13, 2018, subject to earlier or partial settlement upon, termination of employment after attainment of age 55 with 5 years of service, layoff, death or disability or a change of control. |
| (7) | The stock units do not have an expiration date. |
| (8) | The stock units grant settles 3 years from February 14, 2019, subject to earlier or partial settlement upon, termination of employment after attainment of age 55 with 5 years of service, layoff, death or disability or a change of control. |
| (9) | Includes dividend equivalent units acquired through routine transactions that are exempt under rule 16a-11. |
| (10) | The stock units grant settles 3 years from February 11, 2020, subject to earlier or partial settlement upon, termination of employment after attainment of age 55 with 5 years of service, layoff, death or disability or a change of control. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Brooks Catherine A.
16930 PARK ROW DR.
HOUSTON, TX 77084 |
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| VP & Controller |
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Signatures
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| Shannon B. Kinney (by Power of Attorney filed with the Commission on January 7, 2019) | | 12/31/2020 |
| **Signature of Reporting Person | Date |
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