SEC Form 4 · accession 0000009984-16-000202
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
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 2:19 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 | Nov 22, 2016 | M | 10,000 | $20.69 | A | 91,583 | D | |
| Common StockF1 | Nov 22, 2016 | S | 10,000 | $46.2198 | D | 81,583 | D | |
| Common Stock | holding | — | — | — | 5,284 | I | By Company's Employee Stock Purchase Plan | |
| Common Stock | holding | — | — | — | 1,886 | 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 buy)F3,F2 | $20.69 | Nov 22, 2016 | M | 10,000 | D | — | Feb 9, 2021 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Includes balances of 1,633 Restricted Stock Units granted 2/12/2014, 666 granted 2/12/2014, 3,799 granted 2/11/2015 and 7,000 granted 2/10/2016, that are subject to forfeiture if certain events occur.
- F2The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/9/2011 grant date.
- F31 for 1.