SEC Form 4 · accession 0000009984-16-000115
BARNES GROUP INC · B
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Berklas Jr.
Officer — SVP, Gen. Counsel & Secretary
Period of report
Feb 10, 2016
Accepted (ET)
Feb 12, 2016 · 4:01 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 StockF2,F3 | Feb 10, 2016 | A | 3,000 | $0.00 | A | 4,861 | D |
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 | $30.71 | Feb 10, 2016 | A | 9,000 | A | — | Feb 10, 2026 | Common Stock | 9,000 | 9,000 | D |
Explanation of responses
- F1Reporting Person has received 3000 Restricted Stock Units that are subject to forfeiture if certain events occur.
- F2Does not include 3101performance-based performance share awards granted to the Reporting Person which were previously reported on prior Form 4s. These holdings will be reported on subsequent Form 4s if and when the applicable performance goals are achieved.
- F3Includes 1861Restricted Stock Units granted 8/1/2015, 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.