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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 39.35 | (1) | 02/16/2016 | Common Stock | 2,160 | 2,160 | D | ||||||||
Stock Option (Right to Buy) | $ 50.22 | (4) | 02/15/2017 | Common Stock | 4,300 | 4,300 | D | ||||||||
Restricted Stock Units | (2) | (3) | (3) | Common Stock | 2,500 | 2,500 | D | ||||||||
Restricted Stock Units | (2) | (5) | (5) | Common Stock | 1,700 | 1,700 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSEN CONSTANCE 2801 80TH STREET KENOSHA, WI 53143 |
Vice President and Controller |
Kenneth V. Hallett under Power of Attorney for Constance R. Johnsen | 06/08/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | One half of option vested on 2/16/2007 and the remainder vests on 2/16/2008. |
(2) | 1 for 1. |
(3) | The stock vests on the achievement of certain company initiatives over the 2006-2008 period. |
(4) | One third of the option vests on each of 2/15/2008, 2/15/2009 and 2/15/2010. |
(5) | The stock vests on the achievement of certain company initiatives over the 2007-2009 period. |
(6) | Previously included 442.433 shares acquired under the Snap-on Incorporated Employee Stock Purchase Plan. |