Statement of Changes in Beneficial Ownership (4)
03 Marzo 2014 - 10:59PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
SRINIVASAN MALLIKA
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2. Issuer Name
and
Ticker or Trading Symbol
AGCO CORP /DE
[
AGCO
]
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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)
TRACTORS AND FARM EQUIPMENT LIMITED, NO. 35 NUNGAMBAKKAM HIGH ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2014
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(Street)
CHENNAI, K7 600 034
(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
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2/28/2014
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P
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60729
(1)
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A
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$51.86
(2)
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2087009
(3)
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I
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By TAFE Motors and Tractors Limited
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Common Stock
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5589543
(4)
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I
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By Tractors and Farm Equipment Limited
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Common Stock
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4485
(5)
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Shares were purchased pursuant to a Rule 10b5-1 trading plan entered into by Tractors and Farm Equipment Limited ("TAFE") and TAFE Motors and Tractors Limited ("TMTL") on February 10, 2014.
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(
2)
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The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $51.62 to $51.99. The reporting person undertakes to provide to AGCO Corporation, any security holder of AGCO Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2).
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(
3)
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TMTL is a wholly owned subsidiary of TAFE. The reporting person is an officer of TMTL and is a beneficial owner of certain equity securities of TMTL. The reporting person disclaims beneficial ownership of the shares reported in Column 5 of this row except to the extent of the reporting person's beneficial ownership of equity securities of TMTL, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
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(
4)
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The reporting person is an officer of TAFE and is a beneficial owner of certain equity securities of TAFE. The reporting person disclaims beneficial ownership of the shares reported in Column 5 of the row except to the extent of the reporting person's beneficial ownership of equity securities of TAFE, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
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(
5)
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These shares reflect awards under the AGCO Corporation 2006 Long-Term Stock Incentive Plan.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SRINIVASAN MALLIKA
TRACTORS AND FARM EQUIPMENT LIMITED
NO. 35 NUNGAMBAKKAM HIGH ROAD
CHENNAI, K7 600 034
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X
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Signatures
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/s/ Stephanie R. Gallina, Attorney-In-Fact
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3/3/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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