SEC Form 4 · accession 0001127602-16-069239
STANLEY BLACK & DECKER, INC. · SWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Allan
Officer — Sr. VP & CFO
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 3:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000093556
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 2, 2016 | A | 5,435 | $0.00 | A | 105,289 | D | |
| Common StockF2 | Dec 4, 2016 | D | 612 | $118.66 | D | 104,677 | D | |
| Common StockF3 | holding | — | — | — | 6 | I | Through Computershare under ESPP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $118.66 | Dec 2, 2016 | A | 25,000 | A | — | Dec 2, 2026 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Shares to be delivered on vesting of restricted stock units that vest in four equal annual installments beginning on the first anniversary of the date of grant.
- F2Shares withheld to cover taxes on vesting of restricted stock units
- F3Aggregate number of shares held in ESPP as of the last day of the calendar month that ended at least 10 days prior to the date of this report, including shares acquired or disposed of on various dates since balance was last reported. Because interest in Plan is denominated in cash, fluctuation in share price since the balance was last reported may have resulted in either an increase or decrease in associated number of shares.
- F4The option will become exercisable in four equal annual installments beginning on the first anniversary of the date of grant.