SEC Form 4 · accession 0000009984-16-000203
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
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 2:20 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 | 24,600 | $15.265 | A | 251,189 | D | |
| Common StockF1 | Nov 22, 2016 | M | 16,400 | $20.69 | A | 267,589 | D | |
| Common StockF1 | Nov 22, 2016 | M | 9,621 | $26.59 | A | 277,210 | D | |
| Common StockF1 | Nov 22, 2016 | S | 50,621 | $46.2024 | D | 226,589 | D | |
| Common Stock | holding | — | — | — | 4,162 | 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 | $15.265 | Nov 22, 2016 | M | 24,600 | D | — | Feb 8, 2020 | Common Stock | 24,600 | 0 | D |
| Employee Stock Option-RIght to BuyF3,F4 | $20.69 | Nov 22, 2016 | M | 16,400 | D | — | Feb 9, 2021 | Common Stock | 16,400 | 0 | D |
| Employee Stock Option-RIght to BuyF3,F5 | $26.59 | Nov 22, 2016 | M | 9,621 | D | — | Feb 8, 2022 | Common Stock | 9,621 | 3,379 | D |
Explanation of responses
- F1Includes balances of 5399 Restricted Stock Units granted 2/12/2014, 1033 granted 2/12/2014, 15866 granted 2/11/2015 and 26000 granted 2/10/2016, that are subject to forfeiture if certain events occur.
- F2The option vests in three equal installments on August 8, 2011, 2012 and 2013.
- F31 for 1.
- F4The option vests in three equal installments on August 9, 2012, 2013 and 2014.
- F5The option vests in three equal installments on August 8, 2013, 2014 and 2015.