- Statement of Changes in Beneficial Ownership (4)
January 05 2010 - 8:50PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Knapp Mark J
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2. Issuer Name
and
Ticker or Trading Symbol
BUCYRUS INTERNATIONAL INC
[
BUCY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Corporate Controller
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(Last)
(First)
(Middle)
P. O. BOX 500, 1100 MILWAUKEE AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2009
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(Street)
SOUTH MILWAUKEE, WI 53172
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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12/31/2009
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F
(1)
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677
(1)
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D
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$56.37
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6631
(2)
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D
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Common Stock
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12/31/2009
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F
(3)
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1016
(3)
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D
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$56.37
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3034
(4)
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D
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Common Stock
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600
(5)
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D
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Common Stock
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500
(6)
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D
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Common Stock
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3300
(7)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Appreciation Rights
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$13.52
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(8)
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2/24/2019
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Common Stock
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13450
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13450
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D
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Stock Appreciation Rights
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$51.69
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(9)
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2/20/2018
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Common Stock
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2200
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2200
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D
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Stock Appreciation Rights
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$28.52
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(10)
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2/21/2017
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Common Stock
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2200
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2200
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D
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Stock Appreciation Rights
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$19.882
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(11)
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2/16/2016
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Common Stock
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16200
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16200
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D
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Explanation of Responses:
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(
1)
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Reflects the portion of the shares of "base" restricted stock that vested on December 31, 2009 that were retained by the Company in payment of applicable tax withholding obligations, calculated at a price of $56.37 per share, which was the closing price of the Company's common stock as of December 31, 2009.
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(
2)
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Grant to reporting person of "base" restricted stock under the Omnibus Incentive Plan 2007. The "base" restricted stock vests on December 31, 2009, but vesting is accelerated to 25% on December 31, 2006, 2007, 2008 and 2009 in the event certain financial performance criteria are met.
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(
3)
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Reflects the portion of the shares of "premium" restricted stock that vested on December 31, 2009 that were retained by the Company in payment of applicable tax withholding obligations, calculated at a price of $56.37 per share, which was the closing price of the Company's common stock as of December 31, 2009.
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(
4)
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Grant to reporting person of "premium" restricted stock under the Omnibus Incentive Plan 2007. The "premium" restricted stock partially vests in an amount between 20-25% on December 31, 2006, 2007, 2008 and 2009 in the event certain financial performance criteria are met and all partially vested shares fully vest on December 31, 2009.
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(
5)
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Grant to reporting person of restricted stock under the Omnibus Incentive Plan 2007. The restricted stock vests on December 31, 2010.
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(
6)
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Grant to reporting person of restricted stock under the Omnibus Incentive Plan 2007. The restricted stock vests on December 31, 2011.
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(
7)
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Grant to reporting person of restricted stock under the Omnibus Incentive Plan 2007. The restricted stock vests on December 31, 2012.
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(
8)
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The stock appreciation rights are granted under the Omnibus Incentive Plan 2007 and will incrementally vest 10%, 15%, 25% and 50%, respectively, on December 31, 2009, 2010, 2011 and 2012.
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(
9)
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The stock appreciation rights are granted under the Omnibus Incentive Plan 2007 and will incrementally vest 10%, 15%, 25% and 50%, respectively, on December 31, 2008, 2009, 2010 and 2011.
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(
10)
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The stock appreciation rights are granted under the Omnibus Incentive Plan 2007 and will incrementally vest 10%, 15%, 25% and 50%, respectively, on December 31, 2007, 2008, 2009 and 2010.
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(
11)
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The stock appreciation rights are granted under the Omnibus Incentive Plan 2007 and will incrementally vest 10%, 15%, 25% and 50%, respectively, on December 31, 2006, 2007, 2008 and 2009.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Knapp Mark J
P. O. BOX 500
1100 MILWAUKEE AVENUE
SOUTH MILWAUKEE, WI 53172
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Corporate Controller
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Signatures
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/s/Mark J. Knapp
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1/5/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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