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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Stock Units | (2) | 01/12/2013 | M(1) | 1,042.425 | (3) | (3) | Common Stock | 1,042.425 | (1) | 2,084.849 (4) | D | ||||
Restricted Stock Units | (2) | (5) | (5) | Common Stock | 9,607 | 9,607 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Daniel Karen L SNAP-ON INCORPORATED 2801 - 80TH STREET KENOSHA, WI 53143 |
X |
/s/ Ryan S. Lovitz under Power of Attorney for Karen L. Daniel | 01/14/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Pursuant to the reporting person's previously disclosed deferral election (see footnote 3), on January 12, 2013, 1,042.425 deferred stock units, which were each the economic equivalent of one share of the Company's common stock, were settled for cash. |
(2) | 1 for 1. |
(3) | Scheduled for issuance in three equal annual installments after the earliest of January 12, 2013, termination of service as a director, death or upon a change in control. |
(4) | Includes 15.016 deferred stock units acquired through exempt dividend reinvestments. |
(5) | All restrictions lapse upon the earliest of retirement from the Board, death or a change in control; the reporting person will receive the underlying shares upon the earliest of the reporting person's 70th birthday (in which case she will receive them in one lump sum or five equal annual installments depending on the applicable deferral election), death or a change in control. |