Statement of Changes in Beneficial Ownership (4)
May 11 2021 - 9:32AM
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
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CROWN SUSAN |
2. Issuer Name and Ticker or Trading Symbol
ILLINOIS TOOL WORKS INC
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ITW
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
222 NORTH LASALLE STREET, SUITE 2000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/7/2021 |
(Street)
CHICAGO, IL 60601
(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 | 5/7/2021 | | A | | 713 | A | $238.28 | 52899.14 (1) | D | |
Common Stock | | | | | | | | 4000 | I | See ftn. (2) |
Common Stock | | | | | | | | 4000 | I | See ftn. (3) |
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 |
Phantom Stock Units | (4) | | | | | | | (4) | (4) | Common Stock | 6478.73 | | 6478.73 | D | |
Explanation of Responses: |
(1) | Includes 15,272.14 shares of deferred stock under the ITW Director's Deferred Fee Plan as of May 7, 2021. |
(2) | Owned by trusts of which Reporting Person's children are beneficiaries. |
(3) | Owned by Reporting Person's spouse. |
(4) | Represents units of phantom stock held by the Reporting Person as of May 7, 2021 under the Phantom Stock Plan for non-officer directors. Each unit is equal in value to one share of common stock. The units are nontransferrable and have no voting rights. Additional units are credited in amounts equivalent in cash dividends paid on the common stock reported as of May 7, 2021. |
Remarks: The Reporting Person disclaims beneficial ownership of the shares described in Footnotes 2 and 3 except to the extent of her pecuniary interest. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CROWN SUSAN 222 NORTH LASALLE STREET SUITE 2000 CHICAGO, IL 60601 | X |
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Signatures
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/s/ Susan Crown | | 5/11/2021 |
**Signature of Reporting Person | Date |
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