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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stk Option-Right to Buy | Â (2) | 02/13/2018 | Common Stock | 6,150 | $ 26.38 | D | Â |
Employee Stk Option-Right to Buy | Â (3) | 02/08/2020 | Common Stock | 1,199 | $ 15.265 | D | Â |
Employee Stk Option-Right to Buy | Â (4) | 02/09/2021 | Common Stock | 2,100 | $ 20.69 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cestari Paul D BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 |
 |  |  VP,Bus Alys & Pln |  |
Paul D. Cestari | 03/12/2013 | |
**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 400 Restricted Stock Units granted 2/9/11 and 550 from grant 2/12/13 and 400 Performance Share Awards granted 2/8/12 and 550 from grant 2/12/13, that are subject to forfeiture if certain events occur. |
(2) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months beginning 2/13/08. |
(3) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months beginning 2/8/10. |
(4) | The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months beginning 2/9/11. |