0000740761-11-000074.txt : 20110712 0000740761-11-000074.hdr.sgml : 20110712 20110712094558 ACCESSION NUMBER: 0000740761-11-000074 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110708 FILED AS OF DATE: 20110712 DATE AS OF CHANGE: 20110712 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berto Marcus V CENTRAL INDEX KEY: 0001462758 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00871 FILM NUMBER: 11963108 MAIL ADDRESS: STREET 1: 1100 MILWAUKEE AVENUE STREET 2: P. O. BOX 500 CITY: SOUTH MILWAUKEE STATE: WI ZIP: 53172-0500 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BUCYRUS INTERNATIONAL INC CENTRAL INDEX KEY: 0000740761 STANDARD INDUSTRIAL CLASSIFICATION: MINING MACHINERY & EQUIP (NO OIL & GAS FIELD MACH & EQUIP) [3532] IRS NUMBER: 390188050 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: P O BOX 500 STREET 2: 1100 MILWAUKEE AVENUE CITY: SOUTH MILWAUKEE STATE: WI ZIP: 53172-0500 BUSINESS PHONE: 4147684000 MAIL ADDRESS: STREET 1: P O BOX 500 STREET 2: 1100 MILWAUKEE AVENUE CITY: SOUTH MILWAUKEE STATE: WI ZIP: 53172-0500 FORMER COMPANY: FORMER CONFORMED NAME: BUCYRUS ERIE CO /DE DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: BECOR WESTERN INC/DE DATE OF NAME CHANGE: 19860901 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2011-07-08 1 0000740761 BUCYRUS INTERNATIONAL INC BUCY 0001462758 Berto Marcus V 1100 MILWAUKEE AVENUE P. O. BOX 500 SOUTH MILWAUKEE WI 53172-0500 0 0 0 1 Senior Vice President Common Stock 2011-07-08 4 D 0 400 D 0 D Common Stock 2011-07-08 4 D 0 600 D 0 D Common Stock 2011-07-08 4 D 0 17000 D 0 D Common Stock 2011-07-08 4 D 0 3850 D 0 D Common Stock 2011-07-08 4 D 0 11800 D 0 D Stock Appreciation Rights 59.48 2011-07-08 4 D 0 14350 D 2020-02-23 Common Stock 14350 0 D Stock Appreciation Rights 13.52 2011-07-08 4 D 0 69100 D 2019-02-24 Common Stock 69100 0 D Stock Appreciation Rights 34.185 2011-07-08 4 D 0 2400 D 2017-08-07 Common Stock 2400 0 D Stock Appreciation Rights 28.52 2011-07-08 4 D 0 1400 D 2017-02-21 Common Stock 1400 0 D Shares of Common Stock were converted into the right to receive $92.00 per share pursuant to an Agreement and Plan of Merger, dated November 14, 2010, by and among Bucyrus International, Inc., Caterpillar Inc. and Badger Merger Sub, Inc. (the "Merger Consideration"). Prior to consummation of the merger, each outstanding share of restricted stock became fully vested and free of restrictions, and was converted into the Merger Consideration. Prior to consummation of the merger, the stock appreciation rights would have vested 10%, 15%, 25% and 50%, respectively, on December 31, 2010, 2011, 2012 and 2013. The stock appreciation rights were canceled in the merger and the reporting person became entitled to receive a cash payment equal to the product of (i) the number of shares of common stock subject to such stock appreciation right and (ii) the amount, if any, by which $92.00 exceeds the exercise price per share of such stock appreciation right. Prior to consummation of the merger, the stock appreciation rights would have vested 10%, 15%, 25% and 50%, respectively, on December 31, 2009, 2010, 2011 and 2012. The stock appreciation rights became fully vested on December 31, 2010. /s/Marcus V. Berto 2011-07-12