SEC Form 4 · accession 0000009984-19-000038
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
Feb 26, 2019
Accepted (ET)
Feb 27, 2019 · 4:50 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 | Feb 26, 2019 | M | 9,400 | $37.13 | A | 120,250 | D | |
| Common StockF1 | Feb 26, 2019 | M | 3,800 | $37.13 | A | 124,050 | D | |
| Common StockF1 | Feb 26, 2019 | S | 4,496 | $58.4659 | D | 119,554 | D | |
| Common StockF1 | Feb 26, 2019 | S | 8,704 | $59.1892 | D | 110,850 | D | |
| Common Stock | holding | — | — | — | 2,111 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option-Right to BuyF5,F4 | $37.13 | Feb 26, 2019 | M | 9,400 | D | — | Feb 12, 2024 | Common Stock | 9,400 | 0 | D |
| Stock Option-Right to BuyF5,F4 | $37.13 | Feb 26, 2019 | M | 3,800 | D | — | Feb 12, 2024 | Common Stock | 3,800 | 0 | D |
Explanation of responses
- F1Includes balances of 2333 Restricted Stock Units granted 2/10/2016, 3199 granted 2/8/2017, 4300 granted 2/87/2018, and 5000 granted 2/13/2019, 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 $58.34 to $58.68, 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 $58.69 to $59.65, 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 vested 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/12/2014 grant date.
- F51 for 1.