Statement of Changes in Beneficial Ownership (4)
September 01 2020 - 4:44PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Raff Robert H Jr |
2. Issuer Name and Ticker or Trading Symbol
STANLEY BLACK & DECKER, INC.
[
SWK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, Stanley Security |
(Last)
(First)
(Middle)
1000 STANLEY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/28/2020 |
(Street)
NEW BRITAIN, CT 06053
(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 | 8/28/2020 | | M | | 1875 | A | $79.70 | 11967 | D | |
Common Stock | 8/28/2020 | | M | | 3750 | A | $95.18 | 15717 | D | |
Common Stock | 8/28/2020 | | M | | 5625 | A | $109.245 | 21342 | D | |
Common Stock | 8/28/2020 | | M | | 5625 | A | $118.66 | 26967 | D | |
Common Stock | 8/28/2020 | | S | | 16875 | D | $162.00 | 10092 | D | |
Common Stock (1) | | | | | | | | 1.2423 | I | Shares held indirectly in the name of Corporation's 401(k) Plan |
Common Stock (2) | | | | | | | | 858.3656 | I | Through Computershare under ESPP |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $79.70 | 8/28/2020 | | M | | | 1875 | (3) | 12/5/2023 | Common Stock | 1875 | $0 | 0 | D | |
Stock Option (Right to Buy) | $95.18 | 8/28/2020 | | M | | | 3750 | (4) | 12/5/2024 | Common Stock | 3750 | $0 | 0 | D | |
Stock Option (Right to Buy) | $109.245 | 8/28/2020 | | M | | | 5625 | (5) | 12/4/2025 | Common Stock | 5625 | $0 | 0 | D | |
Stock Option (Right to Buy) | $118.66 | 8/28/2020 | | M | | | 5625 | (6) | 12/2/2026 | Common Stock | 5625 | $0 | 1875 | D | |
Explanation of Responses: |
(1) | Represents shares held for the reporting person under the Company's 401(k) Savings Plan as of the last day of the previous calendar month including shares acquired or disposed of on various dates since balance was last reported. |
(2) | Aggregate number of shares held in ESPP as of the last day of the calendar month that ended at least 10 days prior to the date of this report, including shares acquired or disposed of on various dates since balance was last reported. Because interest in Plan is denominated in cash, fluctuation in share price since the balance was last reported may have resulted in either an increase or decrease in associated number of shares. |
(3) | Options were issued under the Company's 2013 Long-Term Incentive Plan and became exercisable in four equal annual installments beginning on December 5, 2014. |
(4) | Options were issued under the Company's 2013 Long-Term Incentive Plan and became exercisable in four equal annual installments beginning on December 5, 2015. |
(5) | Options were issued under the Company's 2013 Long-Term Incentive Plan and became exercisable in four equal annual installments beginning on December 4, 2016. |
(6) | Options were issued under the Company's 2013 Long-Term Incentive Plan and became exercisable in four equal annual installments beginning on December 2, 2017. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Raff Robert H Jr 1000 STANLEY DRIVE NEW BRITAIN, CT 06053 |
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| President, Stanley Security |
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Signatures
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/s/ Yun Jung Choi, Attorney-in-Fact | | 9/1/2020 |
**Signature of Reporting Person | Date |
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