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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 | ||||||||
Stock Option-Right to Buy | $ 9.56 | 05/09/2011 | M | 10,000 | 02/13/2008 | 02/13/2013 | Common Stock | 10,000 | (3) | 0 | D | ||||
Stock Option-Right to Buy | $ 14.1375 | 05/09/2011 | M | 7,784 | 04/27/2004 | 02/13/2013 | Common Stock | 7,784 | (3) | 0 | D | ||||
Stock Option-Right to Buy | $ 15.1925 | 05/09/2011 | M | 10,174 | 05/10/2005 | 02/05/2012 | Common Stock | 10,174 | (3) | 0 | D | ||||
Stock Option-Right to Buy | $ 15.1925 | 05/09/2011 | M | 13,890 | 05/10/2005 | 02/05/2012 | Common Stock | 13,890 | (3) | 0 | D | ||||
Stock Option-Right to Buy | $ 17.45 | 05/09/2011 | M | 10,470 | 11/10/2005 | 02/05/2012 | Common Stock | 10,470 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MILZCIK GREGORY F BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 |
X | President & CEO |
Monique B. Marchetti, pursuant to a Power of Atty | 05/11/2011 | |
**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) | Transaction is made in accordance with a 10b5-1 Plan. |
(2) | Includes balances of 4528 restricted stock units from 2/14/2007 grant, 7592 from 2/13/2008 grant, 3643 from 7/24/2008 grant, 57000 from 2/10/2009 grant, 62537 from 2/8/2010 grant, 43800 from 2/9/2011 grant, and 43800 performance share awards from 2/9/2011 grant, that are subject for forfeiture if certain events occur. |
(3) | 1 for 1. |