UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Appreciation Rights | 05/04/2013(2) | 05/04/2021 | Common Stock | 750 | $ 72.29 | D | Â |
Stock Appreciation Rights | 05/07/2016(3) | 05/07/2024 | Common Stock | 475 | $ 75.76 | D | Â |
Stock Appreciation Rights | 05/12/2017(3) | 05/12/2025 | Common Stock | 1,050 | $ 78.15 | D | Â |
Stock Appreciation Rights | 05/11/2018(3) | 05/11/2026 | Common Stock | 1,660 | $ 57.43 | D | Â |
Stock Appreciation Rights | 05/10/2019(3) | 05/10/2027 | Common Stock | 1,084 | $ 80.7 | D | Â |
Stock Appreciation Rights | 05/09/2020(4) | 05/09/2028 | Common Stock | 1,094 | $ 77.6 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oswald Timothy J 200 STATE STREET BELOIT, WI 53511 |
 |  |  VP/Human Resources |  |
/s/ Thomas E. Valentyn, as Power of Attorney | 01/28/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Balance reflects the most current data available with regard to holdings in the Regal Beloit Corporation Retirement Savings Plan. |
(2) | Granted as stock-settled Stock Appreciation Rights ("SARs") under the 2007 Equity Incentive Plan. The SARs vest and become exercisable 40% on the second anniversary, 60% on the third anniversary, 80% on the fourth anniversary and 100% on the fifth anniversary of the date of the grant. |
(3) | Granted as stock-settled SARs under the 2013 Equity Incentive Plan. The SARs vest and become exercisable 40% on the second anniversary, 60% on the third anniversary, 80% on the fourth anniversary and 100% on the fifth anniversary of the date of the grant. |
(4) | Granted as stock-settled SARs under the 2018 Equity Incentive Plan. The SARs vest and become exercisable 40% on the second anniversary, 60% on the third anniversary, 80% on the fourth anniversary and 100% on the fifth anniversary of the date of the grant. |