SEC Form 4 · accession 0000009984-15-000025
BARNES GROUP INC · B
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick Dempsey
Officer — President and CEO · Director
Period of report
Feb 24, 2015
Accepted (ET)
Feb 25, 2015 · 4:38 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 StockF1 | Feb 24, 2015 | M | 25,000 | $22.335 | A | 326,619 | D | |
| Common StockF1 | Feb 24, 2015 | M | 73,000 | $22.335 | A | 399,619 | D | |
| Common StockF1 | Feb 24, 2015 | M | 28,466 | $11.45 | A | 428,085 | D | |
| Common StockF1 | Feb 24, 2015 | S | 126,466 | $39.8261 | D | 301,619 | D | |
| Common Stock | holding | — | — | — | 4,129 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option-RIght to BuyF3,F2 | $22.335 | Feb 24, 2015 | M | 25,000 | D | — | Feb 14, 2017 | Common Stock | 25,000 | 0 | D |
| Employee Stock Option-RIght to BuyF3,F4 | $22.335 | Feb 24, 2015 | M | 73,000 | D | — | Feb 14, 2017 | Common Stock | 73,000 | 0 | D |
| Employee Stock Option-RIght to BuyF3,F5 | $11.45 | Feb 24, 2015 | M | 28,466 | D | — | Feb 10, 2019 | Common Stock | 28,466 | 0 | D |
Explanation of responses
- F1Includes balances of 1964 Restricted Stock Units granted 2/9/2011, 2366 granted 2/8/2012, 5466 granted 2/12/2013, 9066 granted 3/1/2013, 16200 granted 2/12/2014, 3100 granted 2/12/2014 and 23800 granted 2/11/2015, and 11800 Performance Share Awards granted 2/8/2012, 13700 granted 2/12/2013, 22600 granted 3/1/2013, 27000 granted 2/12/2014, 5100 granted 2/12/2014 and 39600 granted 2/11/2015, that are subject to forfeiture if certain events occur.
- F2The option vests in three equal installments on August 14, 2008, 2009 and 2010.
- F31 for 1.
- F4The option vests in three equal installments on August 14, 2009, 2010 and 2011.
- F5The option vests in three equal installments on August 10, 2010, 2011 and 2012.