SEC Form 4 · accession 0001127602-17-008372
STANLEY BLACK & DECKER, INC. · SWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A. Bartone
Officer — V.P. Corporate Tax
Period of report
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 7:41 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 | Feb 22, 2017 | A | 2,366 | — | A | 23,711 | D | |
| Common StockF2 | holding | — | — | — | 394 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Interest In Employer Stock Fund (401(k) Plan)F3,F4 | — | holding | — | — | — | — | — | Common Stock | 1,815 | 1,815 | D |
| Interest in Employer Stock Fund (Supplemental Plan)F5,F4 | — | holding | — | — | — | — | — | Common Stock | 258 | 258 | D |
Explanation of responses
- F1Shares issued pursuant to the 2014-2016 performance awards program under the Company's 2013 Long-Term Incentive Plan, net of shares withheld to cover taxes.
- F2Aggregate 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.
- F3Represents shares held for the reporting person under the Company's 401(k) Savings Plan 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.
- F4Exempt
- F5Represents shares held for the reporting person under the Company's Supplemental Plan 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.