- Statement of Changes in Beneficial Ownership (4)
19 11월 2009 - 7:24AM
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)
11/16/2009
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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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11/16/2009
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S
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11097
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D
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$52.05
(1)
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381252
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D
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Common Stock
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11/17/2009
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S
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8903
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D
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$50.75
(2)
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372349
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D
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Common Stock
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11/17/2009
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M
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40000
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A
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$16.38
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412349
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D
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Common Stock
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11/17/2009
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M
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36000
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A
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$20.30
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448349
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D
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Common Stock
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11/17/2009
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M
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50000
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A
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$29.75
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498349
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D
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Common Stock
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11/17/2009
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S
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87403
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D
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$50.734
(3)
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410946
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D
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Common Stock
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12458
(7)
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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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$42.65
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5/8/2011
(4)
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5/8/2019
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Common Stock
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90000
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90000
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D
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Stock Appreciation Rights
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$42.28
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5/2/2010
(4)
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5/2/2018
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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
(5)
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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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Non-qualified Stock Option
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$36.36
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1/27/2008
(6)
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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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Non-qualified Stock Option
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$29.75
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11/17/2009
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M
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50000
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1/21/2007
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1/21/2015
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Common Stock
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50000
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$29.75
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0
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D
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Non-qualified Stock Option
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$20.30
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11/17/2009
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M
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36000
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4/22/2006
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4/22/2014
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Common Stock
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36000
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$20.30
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0
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D
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Non-qualified Stock Option
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$16.38
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11/17/2009
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M
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40000
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4/22/2005
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4/22/2013
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Common Stock
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40000
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$16.38
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0
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D
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Explanation of Responses:
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(
1)
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The Price in Column 4 is a weighted average price. The prices actually received ranged from $52.047 to $52.112. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transaction reported in this Form 4 utilizing an average weighted price.
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(
2)
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The price in Column 4 is a weighted average price. The prices actually received ranged from $50.75 to $50.751. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
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(
3)
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The price in Column 4 is a weighted average price. The prices actually received ranged from $50.55 to $51.24. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding thenumber of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
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(
4)
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Granted as stock-settled SARs under the 2007 Equity Incemtive Plan. The SARs vest and become exerciseable 40% on the second anniversary of the date of the grant, 60% on the third anniversary, 80% on the fourth anniversary and 100% on the fifth anniversary.
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(
5)
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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 the grant, 60% on the third anniversary, 80% on the fourth anniversary and 100% on the fifth anniversary.
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(
6)
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Granted to reporting person as option to buy shares of common stock under the 2003 Equity Incentive Plan. The Option vests and becomes exerciseable 40% on the second anniversary of the date of the grant, 60% on the third anniversary, 80% on the fourth anniversary and 100% on the fifth anniversary.
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(
7)
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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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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 by David A. Barta as POA
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11/18/2009
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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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