UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stk Option-Right to Buy | Â (2) | 02/14/2017 | Common Stock | 5,700 | $ 22.335 | D | Â |
Employee Stk Option-Right to Buy | Â (3) | 02/13/2018 | Common Stock | 6,150 | $ 26.38 | D | Â |
Employee Stk Option-Right to Buy | Â (4) | 02/10/2019 | Common Stock | 14,200 | $ 11.45 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EDWARDS DAWN N BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 |
 |  |  SVP, Human Resources |  |
Dawn N. Edwards | 08/03/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes a balance of 766 Restricted Stock Units from 2/16/05 grant and 1333 from 2/15/06 grant that are subject to forfeiture if certain events occur. |
(2) | The option vests in three equal installments on the first, second and third anniversaries of the 2/14/07 grant date. |
(3) | The option vests in three equal installments on the first, second and third anniversaries of the 2/13/08 grant date. |
(4) | The option vests in three equal installments on the first, second and third anniversaries of the 2/10/09 grant date. |