Regal Beloit Corp - Statement of Changes in Beneficial Ownership (4)
07 5월 2008 - 7:50AM
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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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KNUEPPEL HENRY W
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2. Issuer Name
and
Ticker or Trading Symbol
REGAL BELOIT CORP
[
RBC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman/CEO
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(Last)
(First)
(Middle)
200 STATE STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/2/2008
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(Street)
BELOIT, WI 53511
(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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5/2/2008
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A
(1)
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16000
(1)
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A
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$0
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195740
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D
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Common Stock
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5/5/2008
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M
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100000
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A
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$23.25
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295740
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D
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Common Stock
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5/5/2008
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F
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72527
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D
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$43.64
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223213
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D
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Common Stock
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12230
(2)
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I
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Retirement Savings Plan
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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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Stock Appreciation Rights
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$42.28
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5/2/2008
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A
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70000
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5/2/2010
(3)
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5/2/2018
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Common Stock
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70000
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$0
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70000
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D
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Non-Qualified Stock Option
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$23.25
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5/5/2008
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M
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100000
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(4)
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1/22/2009
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Common Stock
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100000
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$0
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100000
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D
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Non-Qalified Stock Option
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$16.38
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(4)
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4/22/2013
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Common Stock
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40000
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40000
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D
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Non-Qualified Stock Option
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$20.30
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(4)
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4/22/2014
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Common Stock
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36000
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36000
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D
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Non-Qualified Stock Option
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$29.75
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(4)
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1/21/2015
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Common Stock
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50000
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50000
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D
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Non-Qualified Stock Option
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$36.36
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1/27/2008
(5)
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1/27/2016
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Common Stock
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70000
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70000
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D
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Stock Appreciation Rights
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$48.05
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2/6/2009
(6)
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2/6/2017
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Common Stock
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70000
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70000
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D
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Explanation of Responses:
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(
1)
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Restricted Stock Units (RSU's) granted to the reporting person under the 2003 Equity Incentive Plan. RSU's vest 100% on May 2, 2011. Each RSU is equal to one share of common stock and is payable only in stock.
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(
2)
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Balance reflects the most current data available with regard to holdings in the Regal-Beloit Corporation Retirement Savings Plan.
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(
3)
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Granted as stock-settled SAR's under the 2007 Equity Incentive Plan. The SAR's vest and become exercisable 40% on the second anniversary of the date of grant, 60% on third anniversary, 80% on fourth anniversary and 100% on fifth anniversary.
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(
4)
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Fully vested stock options.
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(
5)
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Grant to reporting person of option to buy shares of common stock under the 2003 Equity Incentive Plan. The option vests and becomes exercisable 40% on the second anniversary of the date of grant, 60% on third anniversary, 80% on fourth anniversary and 100% on fifth anniversary.
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(
6)
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Granted as stock-settled SARs under the 2003 Equity Incentive Plan. The SARs vest and become exercisable 40% on the second anniversary of the date of grant, 60% on third anniversary, 80% on fourth anniversary and 100% on fifth anniversary.
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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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KNUEPPEL HENRY W
200 STATE STREET
BELOIT, WI 53511
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X
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Chairman/CEO
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Signatures
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Henry W. Knueppel
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5/6/2008
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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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