UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option-Right to Buy | Â (2) | 02/10/2019 | Common Stock | 10,000 | $ 11.45 | D | Â |
Stock Option-Right to Buy | Â (3) | 02/08/2020 | Common Stock | 7,500 | $ 15.265 | D | Â |
Stock Option-Right to Buy | Â (4) | 02/09/2021 | Common Stock | 7,100 | $ 20.69 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Barnhart Richard R BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 |
 |  |  Pres, Barnes Aerospace & VP |  |
Richard R. Barnhart | 03/12/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 a balance of 3130 Restricted Stock Units from 2/25/10 grant, 1465 from 2/8/2012 grant and 2195 from 2/12/13 grant and 1465 Performance Share Awards from 2/8/12 grant and 2195 from 2/12/13 grant, that are subject to forfeiture if certain events occur. |
(2) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months beginning 2/10/09. |
(3) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months beginning 2/8/10. |
(4) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months beginning 2/9/11. |