- Initial Statement of Beneficial Ownership (3)
18 Dicembre 2012 - 1:41AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
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STAFSTROM STEVEN J
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/6/2012
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3. Issuer Name
and
Ticker or Trading Symbol
STANLEY BLACK & DECKER, INC. [SWK]
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(Last)
(First)
(Middle)
1000 STANLEY DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
VP Ops CDIY & Emerging Mkts /
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(Street)
NEW BRITAIN, CT 06053
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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24681
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D
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Common Stock
(2)
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1871.1133
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I
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Through Computershare Under ESPP
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Stock Option (Right to Buy)
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(3)
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12/11/2017
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Common Stock
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1250
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$50.475
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D
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Stock Option (Right to Buy)
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(4)
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12/9/2018
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Common Stock
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1588
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$33.345
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D
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Stock Option (Right to Buy)
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(5)
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12/9/2019
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Common Stock
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3750
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$49.0225
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D
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Stock Option (Right to Buy)
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(6)
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12/9/2020
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Common Stock
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7500
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$63.715
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D
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Stock Option (Right to Buy)
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(7)
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12/8/2021
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Common Stock
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7500
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$64.785
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D
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Interest in Employer Stock Fund (Supplemental Plan)
(8)
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(9)
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(9)
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Common Stock
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214.25
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(9)
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D
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Explanation of Responses:
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(
1)
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22,044 of the shares directly held are restricted stock units, of which 625 vest on 12/8/2012, 1,716 vest on 12/9/12, 625 vest on 12/8/13, 1,250 vest on 12/9/13, 5,000 shares vest on 3/12/14, 625 vest on 12/8/14, 625 vest on 12/9/14, 5,000 vest on 3/12/15 and 625 shares vest on 12/8/15.
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(
2)
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Aggregate number of shares held in ESPP as of December 6, 2012.
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(
3)
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Currently 100% vested
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(
4)
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1588 shares will become exercisable on 12/9/2012.
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(
5)
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1875 shares currently exercisable, 1875 shares become exercisable on 12/9/2012 and 1875 shares become exercisable on 12/9/2013.
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(
6)
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1875 shares currently exercisable, 1875 shares to become exercisable on 12/9/2012, 1875 shares to become exercisable on 12/9/2013 and 1875 shares to become exercisable on 12/9/2014.
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(
7)
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1875 shares become exercisable on 12/8/2012, 1875 shares become exercisable on 12/8/2013, 1875 shares become exercisable on 12/8/2014 and 1875 shares become exercisable on 12/8/2015.
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(
8)
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Represents shares held for the reporting person under the Company's Supplemental Plan as of December 6, 2012.
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(
9)
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Exempt
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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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STAFSTROM STEVEN J
1000 STANLEY DRIVE
NEW BRITAIN, CT 06053
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VP Ops CDIY & Emerging Mkts
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Signatures
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/s/ Steven J. Stafstrom
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12/17/2012
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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 5(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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