Initial Statement of Beneficial Ownership (3)
01 Novembre 2016 - 12:54PM
Edgar (US Regulatory)
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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
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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
*
Chadwick Shelly Marie
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/1/2016
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3. Issuer Name
and
Ticker or Trading Symbol
TIMKEN CO [TKR]
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(Last)
(First)
(Middle)
4500 MT. PLEASANT ST. NW
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Accounting Officer /
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(Street)
NORTH CANTON, OH 44720
(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 (Restricted)
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3120
(1)
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D
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Common Stock
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942
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I
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401 (k)
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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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Employee Stock Option (right to buy)
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2/9/2013
(2)
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2/9/2022
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Common Stock
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1600.0
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$37.31
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D
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Employee Stock Option (right to buy)
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2/7/2014
(2)
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2/7/2023
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Common Stock
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1600.0
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$40.56
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D
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Employee Stock Option (right to buy)
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2/13/2015
(2)
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2/13/2024
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Common Stock
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1880.0
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$41.15
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D
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Employee Stock Option (right to buy)
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2/12/2016
(2)
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2/12/2025
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Common Stock
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3140.0
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$41.79
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D
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Employee Stock Option (right to buy)
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2/11/2017
(2)
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2/11/2026
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Common Stock
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4740.0
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$27.75
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D
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Common Stock (Restricted)
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(3)
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12/31/2017
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Common Stock
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1320.0
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$0.0
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D
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Common Stock (Restricted)
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(4)
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12/31/2018
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Common Stock
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1850.0
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$0.0
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D
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Common Stock (Restricted)
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(5)
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2/12/2019
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Common Stock
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398.0
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$0.0
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D
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Common Stock (Restricted)
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(6)
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2/11/2020
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Common Stock
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740.0
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$0.0
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D
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Explanation of Responses:
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(
1)
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Includes: (a) February 9, 2012 grant of 2,000 restricted shares, subject to forfeiture under certain circumstances, that vest 100% on February 9, 2017 and (b) February 13, 2014 grant of 1,120 restricted shares, subject to forfeiture under certain circumstances, that vest 100% on February 13, 2017.
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(
2)
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The options became exercisable in annual 25 percent increments from the date of grant.
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(
3)
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Performance based restricted stock units subject to certain performance criteria between January 1, 2015 and December 31, 2017.
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(
4)
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Performance based restricted stock units subject to certain performance criteria between January 1, 2016 and December 31, 2018.
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(
5)
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Remaining restricted stock units from February 12, 2015 grant of 530 time based restricted stock units that vest 25% per year.
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(
6)
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February 11, 2016 grant of time based restricted stock units that vest 25% per year.
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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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Chadwick Shelly Marie
4500 MT. PLEASANT ST. NW
NORTH CANTON, OH 44720
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Chief Accounting Officer
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Signatures
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/s/ Shelly M. Chadwick
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11/1/2016
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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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Grafico Azioni Timken (NYSE:TKR)
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