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) 07/17/2009 |
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(1) | 12,756 | D |
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 | ||||
Stock Option (Right to Buy) | (2) | 10/16/2012 | Common Stock | 5,000 | $30.96 | D | |
Stock Option (Right to Buy) | (2) | 10/15/2013 | Common Stock | 2,500 | $31.31 | D | |
Stock Option (Right to Buy) | (2) | 10/15/2014 | Common Stock | 10,000 | $41.425 | D | |
Stock Option (Right to Buy) | (3) | 12/13/2015 | Common Stock | 5,000 | $47.195 | D | |
Stock Option (Right to Buy) | (4) | 12/11/2016 | Common Stock | 5,000 | $51.135 | D | |
Stock Option (Right to Buy) | (5) | 12/10/2017 | Common Stock | 7,500 | $51.125 | D | |
Stock Option (Right to Buy) | (6) | 12/09/2018 | Common Stock | 9,500 | $33.345 | D | |
Interest In Employer Stock Fund (401(k) Plan)(8) | (7) | (7) | Common Stock | 1,556 | (7) | D | |
Interest in Employer Stock Fund (Supplemental Plan)(9) | (7) | (7) | Common Stock | 221 | (7) | D |
Explanation of Responses: |
1. 10,145 of the shares are RSUs, of which 700 vest on 12/9/2009; 469 vest on 12/10/2009; 313 vest on 12/11/2009; 313 vest on 12/13/2009; 700 vest on 12/9/2010; 469 vest on 12/10/2010; 312 vest on 12/11/2010; 2,500 vest on 4/23/2011; 700 vest on 12/9/2011; 469 vest on 12/10/2011; 2,500 vest on 4/23/2012; and 700 vest on 12/9/2012. |
2. Currently 100% vested |
3. 3,750 of the shares are currently exerciseable; 1,250 will become exerciseable on 12/13/2009. |
4. 2,500 of the shares are currently exerciseable; 1,250 will become exerciseable on 12/11/2009 and 1,250 will become exerciseable on 12/11/2010. |
5. 1,875 of the shares are currently exerciseable; 1,875 will become exerciseable on 12/10/2009; 1,875 will become exerciseable on 12/10/2010; and 1,875 will become exerciseable on 12/10/2011. |
6. The option will become exercisable in four equal annual installments beginning on the first anniversary of the date of grant. |
7. Exempt |
8. Represents shares held for the reporting person under the Company's 401(k) Savings Plan as of the last day of July 17, 2009. |
9. Represents shares held for the reporting person under the Company's Supplemental Plan as of July 17, 2009. |
Michael A. Bartone | 07/24/2009 | |
** 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. |