SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
HOVORKA LUKAS

(Last) (First) (Middle)
BARNES GROUP INC.
123 MAIN STREET

(Street)
BRISTOL CT 06010

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/01/2021
3. Issuer Name and Ticker or Trading Symbol
BARNES GROUP INC [ B ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Corporate Development
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 26,898(1) D
Common Stock 7,677.44 I By Company's 401(k) Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option-Right to Buy (2) 02/12/2024 Common Stock 3,400 37.13 D
Employee Stock Option-Right to Buy (3) 02/11/2025 Common Stock 4,100 36.31 D
Employee Stock Option-Right to Buy (4) 02/10/2026 Common Stock 4,800 30.71 D
Employee Stock Option-Right to Buy (5) 02/08/2027 Common Stock 4,000 47.04 D
Employee Stock Option-Right to Buy (6) 02/08/2028 Common Stock 4,000 59.28 D
Employee Stock Option-Right to Buy (7) 02/13/2029 Common Stock 3,500 60.72 D
Employee Stock Option-Right to Buy (8) 02/13/2030 Common Stock 3,400 66.1 D
Explanation of Responses:
1. Includes the following balances of Restricted Stock Units ("RSUs") that are subject to forfeiture if certain events occur, and are payable in shares of common stock on or as soon as practicable following the applicable vesting date: 433 RSUs granted 2/8/2018, all vesting on 8/8/2021; 8,361 RSUs granted 2/9/2018, all vesting 2/9/2023; 799 RSUs granted 2/13/2019, 400 vesting 8/13/2021 and 399 vesting 8/13/2022; 1,200 RSUs granted 2/13/2020, 401 vesting 8/13/2021, 400 vesting 8/13/2022 and 399 vesting 8/13/2023.
2. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/12/2014 grant date.
3. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/11/2015 grant date.
4. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/10/2016 grant date.
5. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/8/2017 grant date.
6. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/8/2018 grant date.
7. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/13/2019 grant date.
8. The options vest 33.334% on the 18th month and 33.333% on the 30th and 42nd months from the 2/13/2020 grant date.
Remarks:
EXHIBIT LIST: EX-24 Power of Attorney for Lukas Hovorka
Patricia A. Bradley, pursuant to a Power of Attorney 03/03/2021
** 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 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).
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 Number.