SEC Form 4 · accession 0000009984-15-000017
BARNES GROUP INC · B
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J Stephens
Officer — SVP, Finance and CFO
Period of report
Feb 11, 2015
Accepted (ET)
Feb 13, 2015 · 2:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009984
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Feb 11, 2015 | A | 5,700 | $0.00 | A | 128,032 | D | |
| Common StockF3 | Feb 11, 2015 | A | 9,500 | $0.00 | A | 137,532 | D | |
| Common Stock | holding | — | — | — | 5,284 | I | By Company's Employee Stock Purchase Plan | |
| Common Stock | holding | — | — | — | 1,556 | I | By Company's 401(k) Plan |
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 BuyF5,F4 | $36.31 | Feb 11, 2015 | A | 15,800 | A | — | Feb 11, 2025 | Common Stock | 15,800 | 15,800 | D |
Explanation of responses
- F1Reporting Person has received 5700 Restricted Stock Units that are subject to forfeiture if certain events occur.
- F2Reporting Person has received 9500 Performance Share Awards that are subject to forfeiture if certain events occur.
- F3Includes balances of 2430 Restricted Stock Units granted 2/9/2011, 9400 granted 2/8/2012, 2466 granted 2/8/2012, 5599 granted 2/12/2013, 4800 granted 5/2/2013, 4900 granted 2/12/2014 and 2000 granted 2/12/2014, and 12300 Performance Share Awards granted 2/8/2012, 14000 granted 2/12/2013, 8200 granted 2/12/2014 and 3300 granted 2/12/2014, that are subject to forfeiture if certain events occur.
- F4The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the grant date.
- F51 for 1.