Statement of Changes in Beneficial Ownership (4)
November 19 2015 - 5:12PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
LEVINE ALAN B
|
2. Issuer Name
and
Ticker or Trading Symbol
RBC Bearings INC
[
ROLL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
102 WILLENBROCK ROAD, ONE TRIBOLOGY CENTER
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2015
|
(Street)
OXFORD, CT US 06478
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
11/18/2015
|
|
M
|
|
2500
|
A
|
$22.73
|
18360
(5)
(6)
(8)
|
D
|
|
Common Stock
|
11/18/2015
|
|
J
|
|
840
(10)
|
D
|
$68
|
17520
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Option to Purchase Common Stock
|
$22.73
|
11/18/2015
|
|
M
|
|
|
2500
|
11/16/2010
(1)
|
11/16/2016
|
Common Stock
|
2500
|
$22.73
|
0
|
D
|
|
Option to Purchase Common Stock
|
$39.16
|
|
|
|
|
|
|
7/7/2012
(2)
|
7/7/2018
|
Common Stock
|
2500
|
|
2500
|
D
|
|
Option to Purchase Common Stock
|
$44.6
|
|
|
|
|
|
|
6/4/2013
(3)
|
6/4/2019
|
Common Stock
|
2500
|
|
2500
|
D
|
|
Option to Purchase Common Stock
|
$51.08
|
|
|
|
|
|
|
6/14/2014
(4)
|
6/14/2020
|
Common Stock
|
2500
|
|
2500
|
D
|
|
Option to Purchase Common Stock
|
$64.15
|
|
|
|
|
|
|
7/1/2015
(7)
|
7/1/2021
|
Common Stock
|
2000
|
|
2000
|
D
|
|
Option to Purchase Common Stock
|
$72.83
|
|
|
|
|
|
|
7/1/2016
(9)
|
7/1/2022
|
Common Stock
|
2000
|
|
2000
|
D
|
|
Explanation of Responses:
|
(
1)
|
Options to purchase shares of Common Stock are subject to the following vesting schedule: 1/3 vest on 11/16/2010, 1/3 vest on 11/16/2011 and 1/3/ vest on 11/16/2012
|
(
2)
|
Options to purchase shares of common stock are subject to the following vesting schedule: 1/3 vested on 7/7/2012, 1/3 vest on 7/7/2013 and 1/3 vest on 7/7/2014.
|
(
3)
|
Options to purchase shares of Common Stock are subject to the following vesting schedule: 1/5 vest on 6/4/2013, 1/5 vest on 6/4/2014, 1/5 vest on 6/4/2015, 1/5 vest on 6/4/2016 and 1/5 vest on 6/4/2017. Options expire 7 years from grant date.
|
(
4)
|
Options to purchase shares of Common Stock are subject to the following vesting schedule: 1/5 vest on 6/14/2014, 1/5 vest on 6/14/2015, 1/5 vest on 6/14/2016, 1/5 vest on 6/14/2017 and 1/5 vest on 6/14/2018. Options expire 7 years from grant date.
|
(
5)
|
333 shares of the reported Common Stock are Restricted Shares. The Restrictions lapse on 6/14/2016. Unvested shares of Restricted Stock (i) may be immediately forfeited to the Company at the time the grantee ceases to be an officer or employee of, or otherwise perform services for, the Company or its subsidiaries under certain circumstances or (ii) may lapse upon the happening of certain events.
|
(
6)
|
833 shares of the reported Common Stock are Restricted Shares. The Restrictions lapse in accordance with the following schedule: 1/2 vest on 7/1/2016, 1/2 vest on 7/1/2017. Unvested shares of Restricted Stock (i) may be immediately forfeited to the Company at the time the grantee ceases to be an officer or employee of, or otherwise perform services for, the Company or its subsidiaries under certain circumstances or (ii) may lapse upon the happening of certain events.
|
(
7)
|
Options to purchase shares of Common Stock are subject to the following vesting schedule: 1/5 vest on 7/1/2015, 1/5 vest on 7/1/2016, 1/5 vest on 7/1/2017, 1/5 vest on 7/1/2018 and 1/5 vest on 7/1/2019. Options expire 7 years from grant date.
|
(
8)
|
1,250 shares of the reported Common Stock are Restricted Shares. The Restrictions lapse in accordance with the following schedule: 1/3 vest on 7/1/2016, 1/3 vest on 7/1/2017, 1/3 vest on 7/1/2018. Unvested shares of Restricted Stock (i) may be immediately forfeited to the Company at the time the grantee ceases to be an officer or employee of, or otherwise perform services for, the Company or its subsidiaries under certain circumstances or (ii) may lapse upon the happening of certain events.
|
(
9)
|
Options to purchase shares of Common Stock are subject to the following vesting schedule: 1/5 vest on 7/1/2016, 1/5 vest on 7/1/2017, 1/5 vest on 7/1/2018, 1/5 vest on 7/1/2019 and 1/5 vest on 7/1/2020. Options expire 7 years from grant date.
|
(
10)
|
Sale of shares in connection with an option exercise to pay exercise price of options.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
LEVINE ALAN B
102 WILLENBROCK ROAD
ONE TRIBOLOGY CENTER
OXFORD, CT US 06478
|
X
|
|
|
|
Signatures
|
Thomas J. Williams, attorney in fact
|
|
11/19/2015
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
RBC Bearings (NASDAQ:ROLL)
Historical Stock Chart
From Sep 2024 to Oct 2024
RBC Bearings (NASDAQ:ROLL)
Historical Stock Chart
From Oct 2023 to Oct 2024