SEC Form 4 · accession 0000009984-17-000037
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
May 2, 2017
Accepted (ET)
May 4, 2017 · 1:03 pm EDT
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 | May 2, 2017 | M | 13,600 | $26.59 | A | 105,266 | D | |
| Common StockF1 | May 2, 2017 | S | 12,500 | $54.82 | D | 92,766 | D | |
| Common StockF1 | May 2, 2017 | S | 1,100 | $55.52 | D | 91,666 | D | |
| Common Stock | holding | — | — | — | 1,924 | 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)F5,F4 | $26.59 | May 2, 2017 | M | 13,600 | D | — | Feb 8, 2021 | Common Stock | 13,600 | 0 | D |
Explanation of responses
- F1Includes balances of 1633 Restricted Stock Units granted 2/12/2014, 666 granted 2/12/2014, 3799 granted 2/11/2015, 7000 granted 2/10/2016 and 4800 granted 2/8/2017, that are subject to forfeiture if certain events occur.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.44 to $55.40, inclusive. The reporting person undertakes to provide to Barnes Group Inc., any security holder of Barnes Group Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.44 to $55.61, inclusive. The reporting person undertakes to provide to Barnes Group Inc., any security holder of Barnes Group Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F4The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/8/2012 grant date.
- F51 for 1.