-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SkAn6EpAODnRzzwwQK4AYXwJA8iuO9X0JyOAuMLnzIF7d1COukdU63Ol03K4ZO3B CQEzOx7wwHzTfXH18HgMAg== 0001012807-96-000001.txt : 19961213 0001012807-96-000001.hdr.sgml : 19961213 ACCESSION NUMBER: 0001012807-96-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961212 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARNISCHFEGER INDUSTRIES INC CENTRAL INDEX KEY: 0000801898 STANDARD INDUSTRIAL CLASSIFICATION: MINING MACHINERY & EQUIP (NO OIL & GAS FIELD MACH & EQUIP) [3532] IRS NUMBER: 391566457 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09299 FILM NUMBER: 96679453 BUSINESS ADDRESS: STREET 1: 13400 BISHOPS LN CITY: BROOKFIELD STATE: WI ZIP: 53005 BUSINESS PHONE: 4146714400 MAIL ADDRESS: STREET 1: P.O. BOX 554 CITY: MILWAUKEE STATE: WI ZIP: 53201-0554 COMPANY DATA: COMPANY CONFORMED NAME: BENJAMIN JAMES C CENTRAL INDEX KEY: 0001012807 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 13400 BISHOPS LANE CITY: BROOKFIELD STATE: WI ZIP: 53005 BUSINESS PHONE: 4147976567 MAIL ADDRESS: STREET 1: 13400 BISHOPS LANE CITY: BROOKFIELD STATE: WI ZIP: 53005 5 1 FORM 5 - OCTOBER, 1996 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person BENJAMIN, JAMES C. 3600 S. Lake Drive St. Francis, WI 53235 US 2. Issuer Name and Ticker or Trading Symbol HARNISCHFEGER INDUSTRIES, INC. HPH 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year OCTOBER, 1996 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President/Controller 7. Individual or Joint/Group Reporting (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |-- |-- |-- |-- |-- |400 |I |(1) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-- |-- |-- |105 |I |(2) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |(3) |J |3 |A |(3) |886(3) |I |(3) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |7/9/96|A |60(4) |A |$25.031 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/9/9|A |54(4) |A |$27.938 |15,132 |I |(4) | |6 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Empl. Stock Options (Rig|$37.88 |10/13|A |6,000 |A |4/13/|10/13|Common Stock|6,000 |-- |6,000 |D |-- | hts to Buy)(5) | |/96 | | | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$31.25 |-- |-- |-- -- |A,D|4/9/9|10/9/|Common Stock|5,000 |-- |5,000 |D |-- | hts to Buy)(5) | | | | | |6-99 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$26.50 |-- |-- |-- -- |A,D|4/3/9|10/3/|Common Stock|5,000 |-- |5,000 |D |-- | hts to Buy)(5) | | | | | |5-98 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$19.63 |-- |-- |-- -- |A,D|4/4/9|10/4/|Common Stock|5,000 |-- |5,000 |D |-- | hts to Buy)(5) | | | | | |4-97 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$17.25 |-- |-- |-- -- |A,D|4/5/9|10/5/|Common Stock|2,500 |-- |2,500 |D |-- | hts to Buy)(5) | | | | | |3-96 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$19.25 |-- |-- |-- -- |A,D|4/7/9|10/7/|Common Stock|1,650 |-- |1,650 |D |-- | hts to Buy)(5) | | | | | |2-95 |01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$14.38 |-- |-- |-- -- |A,D|4/1/9|10/1/|Common Stock|2,000 |-- |2,000 |D |-- | hts to Buy)(5) | | | | | |1-94 |00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Shares held by wife as custodian for three minor children under the UGMA. (2) Held in trust pursuant to the 401(K) portion of the Harnischfeger Industries, Inc. ("HII") Employee Savings Plan ("ESP"). The Plan is a unitized plan and as a result each participant is allocated a certain number of units representing the participant's proportionate share of the HII stock fund. (3) Held in trust pursuant to the ESP. The number reported represents the units allocated to the participant's profit sharing account as of 10/31/96 at then current market prices. (4). Held in "rabbi" trust pursuant to the HII Executive Incentive Plan ("EIP"). Acquisition of shares under the Plan's automatic dividend reinvestment feature. (5) Options granted under the 1988 Incentive Stock Plan ("1988 Plan"). Options under the plan become exercisable in 25% increments at four 12 month intervals commencing 6 months from the date of grant and expire 10 years from the date of grant. SIGNATURE OF REPORTING PERSON /s/ James C. Benjamin DATE 12/ 9/96 -----END PRIVACY-ENHANCED MESSAGE-----