Statement of Changes in Beneficial Ownership (4)
February 16 2021 - 9:26AM
Edgar (US Regulatory)
FORM 4
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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
*
Moule Stephen Geoffrey |
2. Issuer Name and Ticker or Trading Symbol
BARNES GROUP INC
[
B
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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) SVP, BGI; Pres., Barnes Indust |
(Last)
(First)
(Middle)
BARNES GROUP INC., 123 MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2021 |
(Street)
BRISTOL, CT 06010
(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 | 2/11/2021 | | A(1) | | 3900 | A | $0 | 8534 (2) | D | |
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 |
Employee Stock Option-Right to Buy | $52.79 | 2/11/2021 | | A | | 11600 | | (3) | 2/11/2031 | Common Stock | 11600.0 | $0 | 11600 | D | |
Explanation of Responses: |
(1) | Reporting Person has received 3,900 Restricted Stock Units that are subject to forfeiture if certain events occur, and are payable in shares of common stock on or as soon as practicable following the applicable vesting date. |
(2) | Includes balances of 2843 Restricted Stock Units ("RSUs") granted 12/2/2019 and 1791 RSUs granted 12/2/2019, that are subject to forfeiture if certain events occur, and are payable in shares of common stock on or as soon as practicable following the applicable vesting date. |
(3) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Moule Stephen Geoffrey BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 |
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| SVP, BGI; Pres., Barnes Indust |
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Signatures
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Patricia A. Bradley, pursuant to a Power of Attorney | | 2/16/2021 |
**Signature of Reporting Person | Date |
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