SEC Form 4/A · accession 0000009984-19-000042
BARNES GROUP INC · B
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Patrick Dempsey
Officer — President and CEO · Director
Period of report
Feb 13, 2019
Accepted (ET)
Feb 27, 2019 · 4:54 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 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option-Right to BuyF3,F5,F4 | $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.
- F3This amendment is being filed to correct an inadvertent error in the Form 4 of the reporting person filed on February 15, 2019 (the "Prior Form 4"). This line item reflects the February 13, 2019 award by Barnes Group Inc. (the "Company") to the reporting person of options in respect of 62,200 shares of common stock of the Company with an exercise price of $60.72. Such options were inadvertently listed as an award of shares of common stock of the Company in the Prior Form 4. This amendment amends and restates the Prior Form 4 in its entirety.
- F4The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the grant date.
- F51 for 1.