SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
02/15/2019
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3. Issuer Name and Ticker or Trading Symbol
CONOCOPHILLIPS
[ COP ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| President |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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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 Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
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: 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 |
Expiration Date |
Title |
Amount or Number of Shares |
| Stock Options (Right to Buy) |
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02/18/2024 |
Common Stock |
20,800 |
65.463 |
D |
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| Stock Options (Right to Buy) |
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02/17/2025 |
Common Stock |
23,800 |
69.245 |
D |
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| Stock Options (Right to Buy) |
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02/16/2026 |
Common Stock |
14,500 |
33.125 |
D |
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| Stock Options (Right to Buy) |
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02/14/2027 |
Common Stock |
33,300 |
49.755 |
D |
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| Stock Units |
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Common Stock |
4,414 |
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D |
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| Stock Units |
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Common Stock |
31,200 |
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D |
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| Stock Units |
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Common Stock |
5,266.5552 |
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D |
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| Stock Units |
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Common Stock |
8,863 |
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D |
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| Explanation of Responses: |
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| Remarks: |
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Mary K. Ytterberg, Attorney In Fact (by Power of Attorney filed herewith) |
02/20/2019 |
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** 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
5
(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 Number. |
POWER OF ATTORNEY
The undersigned, a person subject to ownership reporting pursuant to Section
16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"),
and requirements pursuant to Rule 144 under the Securities Act of 1933, as
amended (the "Securities Act"), in respect of the equity securities of
ConocoPhillips, hereby makes, constitutes and appoints any of Shannon B. Kinney,
Stephen D. Elison, and Mary K. Ytterberg my true and lawful attorney-in-fact
with full power and authority:
(1) to prepare, execute in my name and on my behalf, and file with the U.S.
Securities and Exchange Commission (the "SEC") any of the following forms which
I may be required or permitted to file:
(A) Form ID and any other documents necessary or appropriate to obtain
codes and passwords enabling the undersigned to make electronic filings with the
SEC of reports required by Section 16(a) of the Exchange Act or any rule or
regulation of the SEC;
(B) Forms 3, 4 and 5 or any other reports or statements of beneficial
ownership or changes of beneficial ownership necessary or appropriate under
Section 16(a) of the Exchange Act; and
(C) Form 144, or any other notice of proposed sale of securities or other
document necessary or appropriate under Rule 144 of the Securities Act.
(2) to do and perform any and all acts for and on my behalf which may be
necessary or desirable to complete and execute any such Form ID, 3, 4, 5, or
144, complete and execute any amendment or amendments thereto, and timely file
such form with the SEC and any stock exchange or similar authority.
I hereby revoke any previous power of attorney I may have given to any person
to make and file such reports, statements and notices with respect to the equity
securities of ConocoPhillips. This power of attorney shall remain in force for
so long as I may be subject to reporting obligations under Section 16(a) of the
Exchange Act or the requirements of Rule 144 under the Securities Act, unless
earlier expressly revoked by me in writing and delivered to ConocoPhillips. Each
of my attorneys-in-fact may at their sole discretion designate one or more
substitute attorneys-in-fact to act in their place. I acknowledge that my
attorneys-in-fact, in serving in this capacity at my request, are not assuming,
nor is ConocoPhillips assuming, any of my responsibilities to comply with the
Exchange Act, the Securities Act, or the rules and regulations thereunder.
/s/ Michael D. Hatfield
Name: Michael D. Hatfield
Date: February 5, 2019
STATE OF TEXAS
COUNTY OF HARRIS
On this 5th day of February, 2019, Michael D. Hatfield personally appeared
before me, and acknowledged that he executed the foregoing instrument for the
purposes therein contained.
IN WITNESS WHEREOF, I have hereunto set my hand and official seal.
/s/ Carissa Cardy
Name: Carissa Cardy
My Commission Expires: July 18, 2019
