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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 | ||||||||
Employee Stock Option-RIght to Buy | $ 22.335 | 02/24/2015 | M | 25,000 | (2) | 02/14/2017 | Common Stock | 25,000 | (3) | 0 | D | ||||
Employee Stock Option-RIght to Buy | $ 22.335 | 02/24/2015 | M | 73,000 | (4) | 02/14/2017 | Common Stock | 73,000 | (3) | 0 | D | ||||
Employee Stock Option-RIght to Buy | $ 11.45 | 02/24/2015 | M | 28,466 | (5) | 02/10/2019 | Common Stock | 28,466 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dempsey Patrick BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 |
X | President and CEO |
Monique B. Marchetti, pursuant to Power of Attorney | 02/25/2015 | |
**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) | Includes balances of 1964 Restricted Stock Units granted 2/9/2011, 2366 granted 2/8/2012, 5466 granted 2/12/2013, 9066 granted 3/1/2013, 16200 granted 2/12/2014, 3100 granted 2/12/2014 and 23800 granted 2/11/2015, and 11800 Performance Share Awards granted 2/8/2012, 13700 granted 2/12/2013, 22600 granted 3/1/2013, 27000 granted 2/12/2014, 5100 granted 2/12/2014 and 39600 granted 2/11/2015, that are subject to forfeiture if certain events occur. |
(2) | The option vests in three equal installments on August 14, 2008, 2009 and 2010. |
(3) | 1 for 1. |
(4) | The option vests in three equal installments on August 14, 2009, 2010 and 2011. |
(5) | The option vests in three equal installments on August 10, 2010, 2011 and 2012. |