<SEC-DOCUMENT>0001140361-20-005688.txt : 20200313
<SEC-HEADER>0001140361-20-005688.hdr.sgml : 20200313
<ACCEPTANCE-DATETIME>20200313093704
ACCESSION NUMBER:		0001140361-20-005688
CONFORMED SUBMISSION TYPE:	8-A12B
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20200313
DATE AS OF CHANGE:		20200313

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			OCCIDENTAL PETROLEUM CORP /DE/
		CENTRAL INDEX KEY:			0000797468
		STANDARD INDUSTRIAL CLASSIFICATION:	CRUDE PETROLEUM & NATURAL GAS [1311]
		IRS NUMBER:				954035997
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-A12B
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-09210
		FILM NUMBER:		20710950

	BUSINESS ADDRESS:	
		STREET 1:		5 GREENWAY PLAZA
		STREET 2:		SUITE 110
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77046
		BUSINESS PHONE:		7132157000

	MAIL ADDRESS:	
		STREET 1:		5 GREENWAY PLAZA
		STREET 2:		SUITE 110
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77046
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-A12B
<SEQUENCE>1
<FILENAME>nc10009891x2_8a12b.htm
<DESCRIPTION>8-A12B
<TEXT>
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        <hr style="border: none; border-bottom: 1px solid black; border-top: 4px solid black; height: 10px; color: #ffffff; background-color: #ffffff; margin-left: auto; margin-right: auto;" align="center">UNITED STATES</div>
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    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 14pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt; font-weight: bold;">Washington, D.C. 20549</div>
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    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 18pt; font-weight: bold;"> FORM 8-A</div>
    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 18pt; font-weight: bold;"> <font style="font-size: 10pt;"><br>
      </font></div>
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    <div style="text-align: center; font-weight: bold;">FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES</div>
    <div style="text-align: center; font-weight: bold;">PURSUANT TO SECTION 12(b) OR (g) OF THE</div>
    <div style="text-align: center; font-weight: bold;">SECURITIES EXCHANGE ACT OF 1934</div>
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    </div>
    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 24pt; font-weight: bold;">Occidental Petroleum Corporation</div>
    <div style="text-align: center; font-weight: bold;">(Exact name of registrant as specified in its charter)</div>
    <div style="text-align: center; font-weight: bold;"> <br>
    </div>
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          <td style="width: 50.43%; vertical-align: middle;">&#160;</td>
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            <div style="text-align: center; font-weight: bold;">Delaware</div>
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            <div style="text-align: center; font-weight: bold;">95-4035997</div>
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            <div style="text-align: center; font-weight: bold;">(State of incorporation</div>
            <div style="text-align: center; font-weight: bold;">&#160;or organization)</div>
          </td>
          <td style="width: 1.16%; vertical-align: bottom;">&#160;</td>
          <td style="width: 48.41%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">(I.R.S. Employer</div>
            <div style="text-align: center; font-weight: bold;">&#160;Identification No.)</div>
          </td>
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          <td style="width: 50.43%; vertical-align: middle;">&#160;</td>
          <td colspan="2" style="width: 49.57%; vertical-align: middle;">&#160;</td>
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          <td style="width: 50.43%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">5 Greenway Plaza, Suite 110</div>
            <div style="text-align: center; font-weight: bold;">&#160;Houston, Texas</div>
          </td>
          <td style="width: 1.16%; vertical-align: bottom;">&#160;</td>
          <td style="width: 48.41%; vertical-align: bottom; text-align: center;">
            <div style="font-family: 'Times New Roman',Times,serif; font-weight: bold;">77046</div>
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            <div style="text-align: center; font-weight: bold;">(Address of principal executive offices)</div>
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          <td style="width: 1.16%; vertical-align: bottom;">&#160;</td>
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            <div style="text-align: center; font-weight: bold;">(Zip Code)</div>
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    <div style="text-align: center; font-weight: bold;"> <br>
    </div>
    <div style="text-align: center; font-weight: bold;">Securities to be registered pursuant to Section 12(b) of the Act:</div>
    <div><br>
    </div>
    <div> <br>
    </div>
    <table style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="za6e0dcd6db4f414fa0ede05e928abdc3" cellpadding="0" cellspacing="0">

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          <td style="width: 50.42%; vertical-align: bottom; border-bottom: 2px solid #000000;">
            <div style="text-align: center; font-weight: bold;">Title of each class</div>
            <div>
              <div style="text-align: center; font-weight: bold;">to be so registered</div>
            </div>
          </td>
          <td style="width: 1.16%; vertical-align: bottom;">&#160;</td>
          <td style="width: 48.42%; vertical-align: bottom; border-bottom: 2px solid #000000;">
            <div style="text-align: center; font-weight: bold;">Name of each exchange on which</div>
            <div style="text-align: center; font-weight: bold;">&#160;each class is to be registered</div>
          </td>
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          <td style="width: 50.42%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">Preferred Stock Purchase Rights</div>
          </td>
          <td style="width: 1.16%; vertical-align: bottom;">&#160;</td>
          <td style="width: 48.42%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">New York Stock Exchange</div>
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    <div>If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. &#9746;</div>
    <div><br>
    </div>
    <div>If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. &#9744;</div>
    <div><br>
    </div>
    <div>If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. &#9744;</div>
    <div><br>
    </div>
    <div>Securities Act registration statement or Regulation A offering statement file number to which this form relates: <font style="font-weight: bold;">Not Applicable</font></div>
    <div><br>
    </div>
    <div>Securities to be registered pursuant to Section 12(g) of the Act: <font style="font-weight: bold;">None</font></div>
    <div><br>
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    <div style="text-align: center; font-weight: bold;">INFORMATION REQUIRED IN REGISTRATION STATEMENT</div>
    <div><br>
    </div>
    <div style="font-weight: bold;">Item 1. Description of Registrant&#8217;s Securities to be Registered.</div>
    <div><br>
    </div>
    <div>On March 12, 2020, the Board of Directors (the &#8220;Board&#8221;) of Occidental Petroleum Corporation (the &#8220;Company&#8221;) declared a dividend of one preferred share purchase right (a &#8220;Right&#8221;) for each outstanding share of common stock, par value $0.20 per
      share, of the Company (the &#8220;Common Stock&#8221;), to purchase from the Company one ten-thousandth of a share of Series B Junior Participating Preferred Stock, par value $1.00 per share, of the Company (the &#8220;Preferred Stock&#8221;) at a price of $55.00 per one
      ten-thousandth of a share of Preferred Stock (the &#8220;Purchase Price&#8221;), subject to adjustment as provided in the Rights Agreement (defined below). The dividend is payable to stockholders of record at the close of business on March 23, 2020 (the &#8220;Record
      Date&#8221;). The description and terms of the Rights are set forth in a Rights Agreement, dated as of March 12, 2020, as the same may be amended from time to time, (the &#8220;Rights Agreement&#8221;), between the Company and Equiniti Trust Company, as Rights Agent
      (the &#8220;Rights Agent&#8221;).</div>
    <div><br>
    </div>
    <div>Adopting the Rights Agreement is designed to allow all stockholders of the Company to realize the long-term value of their investment by reducing the likelihood that any person or group would gain control of the Company through open market
      accumulation or other coercive takeover tactics without appropriately compensating the Company&#8217;s stockholders for such control or providing the Board sufficient time to make informed judgments. The Rights Agreement is intended to protect the Company
      and its stockholders from efforts to capitalize on recent market volatility and macroeconomic conditions to obtain control of the Company on terms that the Board determined are not in the best interests of the Company and its stockholders. The Board
      will submit the Rights Agreement to a vote at the Company&#8217;s 2020 annual meeting, and the Rights will expire following the meeting if a proposal to approve the Rights Agreement is not approved by the Company&#8217;s stockholders. If the Company&#8217;s
      stockholders approve the proposal, the Rights Agreement will, by its terms, expire in one year. The Rights may cause substantial dilution to any person or group that attempts to acquire the Company without the approval of the Board. As a result, the
      overall effect of the Rights Agreement and the issuance of the Rights may be to render more difficult or discourage a merger, tender or exchange offer or other business combination involving the Company that is not approved by the Board.</div>
    <div><br>
    </div>
    <div>The following is a summary of the terms of the Rights Agreement. The summary does not purport to be complete and is qualified in its entirety by reference to the full text of the Rights Agreement, a copy of which is attached as Exhibit 2.1 and
      incorporated herein by reference.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Effectiveness</div>
    <div><br>
    </div>
    <div>The Rights Agreement became effective on March 12, 2020 (the &#8220;Effective Date&#8221;). Upon and following the Effective Date, Rights will be issued in respect of all outstanding shares of Common Stock on the Record Date, and for all shares of Common
      Stock issued after the Record Date and, subject to the terms described in the Rights Agreement, prior to the earliest of the Distribution Date (as defined below), the redemption of the Rights or the expiration of the Rights.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Distribution and Transfer of Rights; Distribution Date; Rights Certificates</div>
    <div><br>
    </div>
    <div>The Rights are not exercisable until the Distribution Date. The Rights will expire on the earlier of (i) March 11, 2021 and (ii) the day following the certification of the voting results of the Company&#8217;s 2020 annual meeting of stockholders, if at
      such stockholder meeting a proposal to approve the Rights Agreement is not approved by the Company&#8217;s stockholders, unless the Rights are earlier redeemed or exchanged by the Company, in each case as described below, or upon the occurrence of certain
      transactions.</div>
    <div><br>
    </div>
    <div>Subject to certain exceptions specified in the Rights Agreement, the Rights will separate from the Common Stock and become exercisable following the earlier of (i) 10 business days from the public announcement that a person or group of affiliated
      or associated persons has become an Acquiring Person (as defined below) or such earlier date on which a majority of the Board becomes aware of the existence of an Acquiring Person or (ii) such date (prior to such time as any person or group of
      affiliated persons becomes an Acquiring Person), if any, as may be determined by action of the Board following the commencement of, or public announcement of an intention to commence, a tender or exchange offer the consummation of which would result
      in any person or group of affiliated or associated persons becoming an Acquiring Person (the earlier of such dates being called the &#8220;Distribution Date&#8221;). Except in certain situations, a person or group of affiliated or associated persons becomes an
      &#8220;Acquiring Person&#8221; upon acquiring beneficial ownership of 15% (20% in the case of a passive institutional investor) or more of the outstanding shares of Common Stock. Certain synthetic interests in securities created by derivative positions&#8212;whether
      or&#160;not such interests are considered to be ownership of the underlying Common Stock or are reportable for purposes of Regulation 13D of the Securities Exchange Act of 1934, as amended&#8212;are treated as beneficial ownership of the number of shares of the
      Common Stock equivalent to the economic exposure created by the derivative security, to the extent actual shares of Common Stock are directly or indirectly beneficially owned by a counterparty to such derivative security.</div>
    <div id="DSPFPageBreakArea" style="clear: both; margin-top: 10pt; margin-bottom: 10pt;">
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    </div>
    <div>The Rights Agreement provides that, until the Distribution Date (or earlier redemption or expiration of the Rights), the Rights will be transferred with and only with the Common Stock. Until the Distribution Date (or earlier redemption or
      expiration of the Rights), new Common Stock certificates issued after the Record Date upon transfer or new issuances of Common Stock will contain a legend incorporating the Rights Agreement by reference (and notice of such legend will be furnished to
      holders of book entry shares). Until the Distribution Date (or earlier redemption or expiration of the Rights), the surrender for transfer of any certificates for shares of Common Stock (or of any book entry shares of Common Stock) outstanding as of
      the Record Date, even without such legend (or notice of such legend) or a copy of the Summary of Rights, will also constitute the transfer of the Rights associated with the shares of Common Stock represented by such certificate (or book entry). As
      soon as practicable following the Distribution Date, separate certificates evidencing the Rights (&#8220;Right Certificates&#8221;) will be mailed to holders of record of the Common Stock as of the close of business on the Distribution Date and such separate
      Right Certificates alone will evidence the Rights.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Preferred Stock Purchasable Upon Exercise of Rights</div>
    <div><br>
    </div>
    <div>Because of the nature of the Preferred Stock&#8217;s dividend, liquidation and voting rights, the value of the one ten-thousandth interest in a share of Preferred Stock purchasable upon exercise of each Right should approximate the value of one share of
      Common Stock.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Flip-In Trigger</div>
    <div><br>
    </div>
    <div>If any person or group of affiliated or associated persons becomes an Acquiring Person, each holder of a Right (other than Rights beneficially owned by the Acquiring Person, affiliates and associates of the Acquiring Person and certain transferees
      thereof which will thereupon become null and void) will thereafter have the right to receive upon exercise of a Right that number of shares of Common Stock having a market value of two times the exercise price of the Right.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Flip-Over Trigger</div>
    <div><br>
    </div>
    <div>If, after a person or group has become an Acquiring Person, the Company is acquired in a merger or other business combination transaction or 50% or more of its consolidated assets or earning power are sold, proper provisions will be made so that
      each holder of a Right (other than Rights beneficially owned by an Acquiring Person, affiliates and associates of the Acquiring Person and certain transferees thereof which will have become null and void) will thereafter have the right to receive
      upon the exercise of a Right that number of shares of common stock of the person with whom the Company has engaged in the foregoing transaction (or its parent) that at the time of such transaction have a market value of two times the exercise price
      of the Right.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Redemption and Issuance Provision</div>
    <div><br>
    </div>
    <div>At any time after any person or group becomes an Acquiring Person and prior to the earlier of one of the events described in the previous paragraph or the acquisition by such Acquiring Person of 50% or more of the outstanding shares of Common
      Stock, the Board may cause the Company to redeem the Rights (other than Rights owned by such Acquiring Person, affiliates and associates of the Acquiring Person and certain transferees thereof which will have become null and void), in whole or in
      part, and issue shares of Common Stock or Preferred Stock (or a series of the Company&#8217;s preferred stock having equivalent rights, preferences and privileges), at a redemption ratio of one share of Common Stock, or a fractional share of Preferred
      Stock (or other preferred stock) equivalent in value thereto, per Right.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Redemption of the Rights</div>
    <div><br>
    </div>
    <div>At any time prior to the time any person or group becomes an Acquiring Person, the Board may cause the Company to redeem the Rights in whole, but not in part, at a price of $0.0001 per Right (the &#8220;Redemption Price&#8221;) payable, at the option of the
      Company, in cash, shares of Common Stock or such other form of consideration as the Board shall determine. The redemption of the Rights may be made effective at such time, on such basis and with such conditions as the Board in its sole discretion may
      establish. Immediately upon any redemption of the Rights, the right to exercise the Rights will terminate and the only right of the holders of Rights will be to receive the Redemption Price.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Amendment of Terms of Rights Agreement and Rights</div>
    <div><br>
    </div>
    <div>For so long as the Rights are then redeemable, the Company may, except with respect to the Redemption Price, amend the Rights Agreement in any manner. After the Rights are no longer redeemable, the Company may, except with respect to the
      Redemption Price, amend the Rights Agreement in any manner that does not adversely affect the interests of holders of the Rights (other than those of an Acquiring Person, affiliates and associates of the Acquiring Person and certain transferees
      thereof).</div>
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    </div>
    <div style="font-style: italic;">Voting Rights; Other Stockholder Rights</div>
    <div><br>
    </div>
    <div>Until a Right is exercised or exchanged, the holder thereof, in its capacity as a holder of a Right, will have no rights as a stockholder of the Company, including, without limitation, the right to vote or to receive dividends.</div>
    <div><br>
    </div>
    <div style="font-style: italic;">Anti-Dilution Provisions</div>
    <div><br>
    </div>
    <div>The Purchase Price payable, and the number of shares of Preferred Stock or other securities or property issuable, upon exercise of the Rights is subject to adjustment from time to time to prevent dilution (i) in the event of a stock dividend on,
      or a subdivision, combination or reclassification of, the Preferred Stock, (ii) upon the grant to holders of the Preferred Stock of certain rights or warrants to subscribe for or purchase Preferred Stock at a price, or securities convertible into
      Preferred Stock with a conversion price, less than the then-current market price of the Preferred Stock or (iii) upon the distribution to holders of the Preferred Stock of evidences of indebtedness or assets (other than regular periodic cash
      dividends or dividends payable in Preferred Stock) or of subscription rights or warrants (other than those referred to above).</div>
    <div><br>
    </div>
    <div>The number of outstanding Rights is subject to adjustment in the event of a stock dividend on the Common Stock payable in shares of Common Stock or subdivisions, consolidations or combinations of the Common Stock occurring, in any such case, prior
      to the Distribution Date.</div>
    <div><br>
    </div>
    <div>The Certificate of Designations of Series B Junior Participating Preferred Stock of Occidental Petroleum Corporation and the Rights Agreement, dated as of March 12, 2020, between Occidental Petroleum Corporation and Equiniti Trust Company, as
      Rights Agent, specifying the terms of the Rights, are attached hereto as exhibits and are incorporated herein by reference. The foregoing description of the Rights is qualified in its entirety by reference to such exhibits.</div>
    <div><br>
    </div>
    <div style="font-weight: bold;">Item 2. Exhibits.</div>
    <div><br>
    </div>
    <div>
      <div>
        <table style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" class="DSPFListTable" id="z134b422751ce462aa2c9c4ab1bf1541f" cellpadding="0" cellspacing="0">

            <tr>
              <td style="width: 36pt;"><br>
              </td>
              <td style="width: 18pt; vertical-align: top; align: right;"><a href="http://www.sec.gov/Archives/edgar/data/797468/000114036120005683/nc10009891x1_ex3-1.htm">1</a>.</td>
              <td style="width: auto; vertical-align: top;">
                <div>Certificate of Designations of Series B Junior Participating Preferred Stock of Occidental Petroleum Corporation (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K dated March 13, 2020 of Occidental Petroleum
                  Corporation).</div>
              </td>
            </tr>

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      </div>
    </div>
    <div><br>
    </div>
    <div>
      <div>
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              <td style="width: 36pt;"><br>
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              <td style="width: 18pt; vertical-align: top; align: right;"><a href="http://www.sec.gov/Archives/edgar/data/797468/000114036120005683/nc10009891x1_ex4-1.htm">2</a>.</td>
              <td style="width: auto; vertical-align: top;">
                <div>Rights Agreement, dated as of March 12, 2020, between Occidental Petroleum Corporation and Equiniti Trust Company, as Rights Agent (incorporated by reference to Exhibit 4.1 of the Current Report on Form 8-K dated March 13, 2020 of
                  Occidental Petroleum Corporation).</div>
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    <div style="text-align: center; font-weight: bold;">SIGNATURE</div>
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    <div style="text-indent: 17.25pt;">Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.</div>
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            <td colspan="2" valign="top">OCCIDENTAL PETROLEUM CORPORATION</td>
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            <td style="width: 45%; border-bottom: 2px solid rgb(0, 0, 0);" align="left" nowrap="nowrap" valign="top">/s/ Nicole E. Clark</td>
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            <td style="width: 5%;" valign="top">Name:</td>
            <td style="width: 45%;" align="left" nowrap="nowrap" valign="bottom">Nicole E. Clark</td>
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            <td style="width: 50%;" valign="top">Date: March 13, 2020</td>
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