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Snap-on Inc — Director's Dealing 2012
Dec 31, 2012
30335_dirs_2012-12-31_5c143b9a-6cc1-4e8c-93dc-97dbe7d5b37f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SNAP-ON Inc (SNA)
CIK: 0000091440
Period of Report: 2012-12-29
Reporting Person: PINCHUK NICHOLAS T (Director, Chairman, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-29 | Common Stock | M | 52632 | — | Acquired | 125724.0472 | Direct |
| 2012-12-29 | Common Stock | F | 21816 | $77.34 | Disposed | 103908.0472 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-29 | Restricted Stock Units | $ | M | 52632 | Disposed | Common Stock (52632) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 674.7068 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $31.52 | 2014-01-23 | Common Stock (40500) | 40500 | Direct |
| Stock Option (Right to Buy) | $33.75 | 2015-02-18 | Common Stock (35000) | 35000 | Direct |
| Stock Option (Right to Buy) | $39.35 | 2016-02-16 | Common Stock (42000) | 42000 | Direct |
| Stock Option (Right to Buy) | $50.22 | 2017-02-15 | Common Stock (40000) | 40000 | Direct |
| Stock Option (Right to Buy) | $51.75 | 2018-02-13 | Common Stock (99000) | 99000 | Direct |
| Stock Option (Right to Buy) | $29.69 | 2019-02-11 | Common Stock (120000) | 120000 | Direct |
| Stock Option (Right to Buy) | $41.01 | 2020-02-10 | Common Stock (120000) | 120000 | Direct |
| Stock Option (Right to Buy) | $58.94 | 2021-02-09 | Common Stock (125000) | 125000 | Direct |
| Stock Option (Right to Buy) | $60.00 | 2022-02-08 | Common Stock (125000) | 125000 | Direct |
| Restricted Stock Units | $ | Common Stock (47167) | 47167 | Direct | |
| Restricted Stock Units | $ | Common Stock (29285) | 29285 | Direct | |
| Performance Units | $ | Common Stock (36174) | 36174 | Direct | |
| Performance Units | $ | Common Stock (29517) | 29517 | Direct | |
| Performance Units | $ | Common Stock (29286) | 29286 | Direct | |
| Deferred Stock Units | $ | Common Stock (19692.4226) | 19692.4226 | Direct |
Footnotes
F1: The restricted stock units were earned based on company performance during 2010 and vested in one installment based on continued employment through the end of fiscal 2012; the shares will be issued within 30 days of fiscal 2012 year end.
F2: Includes shares acquired under the Dividend Reinvestment and Direct Stock Purchase Plan.
F3: Shares were withheld to cover tax withholding upon the vesting of the restricted stock units.
F4: This information is based on a plan statement dated September 30, 2012.
F5: 1 for 1.
F6: Original option grant vests in three annual installments beginning on the date listed in the "Date Exercisable" column.
F7: The restricted stock units were earned based on company performance during 2011. Assuming continued employment through the end of fiscal 2013, the units will then vest in one installment and the shares will be issued shortly thereafter.
F8: The restricted stock units may be earned based on the achievement of certain company goals during fiscal 2012. Assuming continued employment through the end of fiscal 2014, any units earned will then vest in one installment and the shares will be issued shortly thereafter. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported subject to plan limits.
F9: If the company achieves certain goals over the 2010-2012 period, the performance units will vest and stock will be awarded. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported subject to plan limits.
F10: If the company achieves certain goals over the 2011-2013 period, the performance units will vest and stock will be awarded. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported subject to plan limits.
F11: If the company achieves certain goals over the 2012-2014 period, the performance units will vest and stock will be awarded. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported subject to plan limits.
F12: Payment will begin within 30 days first beginning after the earliest of the date specified in advance of the deferral by the reporting person, death, disability, retirement or termination of employment.