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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/25/2004 |
3. Issuer Name and Ticker or Trading Symbol
STANLEY WORKS [ SWK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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 | 2,687 | D | |
Common Stock | 649.149 | I | Through Computershare under ESPP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
NQSO (rights to buy) | (3) | 06/28/2010 | Common Stock | 75,000 | $25.125 | D | |
NQSO (rights to buy) | (4) | 10/18/2011 | Common Stock | 20,000 | $39 | D | |
NQSO (rights to buy) | (8) | 10/16/2012 | Common Stock | 20,000 | $30.96 | D | |
NQSO (rights to buy) | (5) | 10/15/2013 | Common Stock | 20,000 | $31.31 | D | |
Restricted Stock Units(6) | (9) | (7) | Common Stock | 7,866 | $25.125 | D | |
Interest in Employer Stock Fund(1) | (9) | (10) | Common Stock | 737.0957 | (11) | D | |
Interest in Employer Stock Fund(2) | (9) | (10) | Common Stock | 698.1206 | (12) | D |
Explanation of Responses: |
1. Represents number of shares held for the reporting person under the Company's 401(k) Savings Plan as of 5/18/04 |
2. Represents number of shares notionally held for reporting person under the Company's Supplemental Savings Plan as of 5/18/04 |
3. 50% of stock option exercisable 36 months and 50% exercisable 60 months following employment date (6/26/2000). |
4. 50% of stock option exercisable 36 months and 50% exercisable 60 months following grant date (10/19/2001). |
5. 25% exercisable on 10/16/2004 and an additional 25% is exercisable on each of the next three anniversaries of grant date (10/16/2003). |
6. Includes dividend equivalent rights |
7. RSUs are deferred and will not be issued until termination of employment |
8. 50% of stock option exercisable 36 months and 50% exercisable 60 months following grant date (10/17/2002). |
9. Currently vested |
10. Distributions are generally made following termination of employment |
11. Common shares purchased from time to time by the trustee of the plan for current market value |
12. Common shares are credited from time to time based on current market value |
Remarks: |
/s/ Bruce H. Beatt, Attorney-in-Fact | 06/04/2004 | |
** 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. |