SEC Form 4 · accession 0000009984-19-000025
BARNES GROUP INC · B
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Patrick Dempsey
Officer — President and CEO · Director
Period of report
Feb 13, 2019
Accepted (ET)
Feb 15, 2019 · 4:21 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 13, 2019 | A | 14,400 | $0.00 | A | 301,838 | D | |
| Common Stock | holding | — | — | — | 4,110 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF4,F3 | $60.72 | Feb 13, 2019 | A | 62,200 | A | — | Feb 13, 2029 | Common Stock | 62,200 | 62,200 | D |
Explanation of responses
- F1Reporting Person has received 14,400 Restricted Stock Units that are subject to forfeiture if certain events occur.
- F2Includes balances of 8666 Restricted Stock Units granted 2/10/2016, 9599 granted 2/8/2017, and 12600 granted 2/8/2018, 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.