SEC Form 4 · accession 0000009984-17-000014
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 8, 2017
Accepted (ET)
Feb 10, 2017 · 3:54 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 | Feb 8, 2017 | A | 2,500 | $0.00 | A | 7,124 | 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 BuyF4,F3 | $47.04 | Feb 8, 2017 | A | 8,000 | A | — | Feb 8, 2027 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Reporting Person has received 2500 Restricted Stock Units that are subject to forfeiture if certain events occur.
- F2Includes balances of 1240 Restricted Stock Units granted 8/1/2015, and 3000 granted 2/10/2016, that are subject to forfeiture if certain events occur.
- F3The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the grant date.
- F41 for 1.