Statement of Changes in Beneficial Ownership (4)
April 29 2020 - 1:41PM
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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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
*
Fulton Tricia L |
2. Issuer Name and Ticker or Trading Symbol
HELIOS TECHNOLOGIES, INC.
[
HLIO
]
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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) CFO, Interim President and CEO |
(Last)
(First)
(Middle)
1500 WEST UNIVERSITY PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/27/2020 |
(Street)
SARASOTA, FL 34243
(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 | | | | | | | | 53569.49 (1) | D | |
Common Stock | | | | | | | | 5688.844 | I (2) | By 401(k) Plan Trust |
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 |
Restricted Stock Units | $0 (3) | 4/27/2020 | | A | | 7740 | | (4) | (4) | Common Stock | 7740 | $0 | 7740 | D | |
Performance-Based Restricted Stock Units | $0 (5) | | | | | | | (5) | (5) | Common Stock | 6478 | | 6478 | D | |
Restricted Stock Units | $0 (6) | | | | | | | (6) | (6) | Common Stock | 3239 | | 3239 | D | |
Non-qualified Stock Options (right to buy) | $39.75 | | | | | | | (7) | 2/28/2030 | Common Stock | 3239 | | 3239 | D | |
Restricted Stock Units | $0 (8) | | | | | | | (8) | (8) | Common Stock | 3442 | | 3442 | D | |
Performance-based Restricted Stock Units | $0 (9) | | | | | | | (9) | (9) | Common Stock | 5162 | | 5162 | D | |
Explanation of Responses: |
(1) | Includes shares purchased and dividend reinvestment shares through the Helios Technologies, Inc. Employee Stock Purchase Plan (16.7749 during the quarter ended March 28, 2020). |
(2) | Reflects allocations of shares under the Helios Technologies Inc. 401(k) Retirement Plan. |
(3) | Each RSU represents the right to receive, following vesting, one share of Common Stock. |
(4) | Unless earlier accelerated or forfeited under the terms of the RSU, 100% of the awards vest and convert into Common Stock twenty four months from the grant date. |
(5) | Performance-based restricted stock units granted to the reporting person on 2/28/2020, unless earlier forfeited under the terms of the performance-based RSU, each performance-based RSU vests and converts into no more than 200% of one share of Common Stock after the determination of the achievement of the performance goals during the three-year performance period ending on the last day of the Company's fiscal year ending December 3 1, 2022. |
(6) | Restricted stock units granted to reporting person on 2/28/2020, 33-1/3% of the awards vest and convert into Common Stock on each of the first three anniversaries of the grant date. |
(7) | Stock Options granted to reporting person on 2/28/2020; unless earlier forfeited under the terms of the Options, 33-1/3% of the options vest and become exercisable on each of the first three anniversaries of the grant date. |
(8) | Restricted stock units granted to reporting person on 2/22/2019, 33-1/3% of the awards vest and convert into Common Stock on each of the first three anniversaries of the grant date. |
(9) | Performance-based restricted stock units granted to the reporting person on 2/22/2019, unless earlier forfeited under the terms of the performance-based RSU, each performance-based RSU vests and converts into no more than 150% of one share of Common Stock after the determination of the achievement of the performance goals during the three-year performance period ending on the last day of the Company's fiscal year ending January 1, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fulton Tricia L 1500 WEST UNIVERSITY PARKWAY SARASOTA, FL 34243 |
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| CFO, Interim President and CEO |
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Signatures
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Julio C. Esquivel, as Attorney-in-Fact for TRICIA L. FULTON | | 4/29/2020 |
**Signature of Reporting Person | Date |
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