Statement of Changes in Beneficial Ownership (4)
13 Noviembre 2020 - 1:17PM
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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3235-0287
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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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BARNES THOMAS O |
2. Issuer Name and Ticker or Trading Symbol
BARNES GROUP INC
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B
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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)
BARNES GROUP INC., 123 MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/6/2020 |
(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 | 11/6/2020 | 11/6/2020 | S | | 110 | D | $39.8429 | 160499 (1) | I | Trust #42-01-102-8550720 (3E) |
Common Stock | | | | | | | | 390069.67 (2) | D | |
Common Stock | | | | | | | | 4461.85 (1) | I | By my wife |
Common Stock | | | | | | | | 39116 (1) | I | Trust #42-01-102-8546568 |
Common Stock | | | | | | | | 412296 (1) | I | Trust #42-01-102-8546559 (1E) |
Common Stock | | | | | | | | 75728 (1) | I | Trust #42-01-102-8550714 (2E) |
Common Stock | | | | | | | | 479703 (1) | I | Trust #42-01-102-8550719 (4E) |
Common Stock | | | | | | | | 410026 (1) | I | Trust #42-01-102-8546558 (5E/5W) |
Common Stock | | | | | | | | 83723 (1) | I | Trust #42-01-102-8550713 (6E/7W) |
Common Stock | | | | | | | | 62403 (1) | I | Trust#42-01-102-2549053 |
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 |
Explanation of Responses: |
(1) | Reporting Person hereby disclaims beneficial ownership of shares held by his Wife, and the Trusts except to the extent of his pecuniary interest. |
(2) | Includes (a) a balance of 397 Restricted Stock Units granted 2/13/2020, which are subject to forfeiture if certain events occur and payable in shares of common stock on or as soon as practicable following the applicable vesting date; (b) 12,000 shares of deferred stock under the Non-Employee Director Deferred Stock Plan, which are payable in shares of common stock upon separation from service as a director, and (c) 377,672.67 shares of common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BARNES THOMAS O BARNES GROUP INC. 123 MAIN STREET BRISTOL, CT 06010 | X |
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Signatures
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Patricia A. Bradley, pursuant to a Power of Attorney | | 11/13/2020 |
**Signature of Reporting Person | Date |
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