-----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, MChvip6yU2CxiiH7TGmG3D2fsSTWfs700i1wea6Dp/fiojl0sdUPi2q6c/HNsyPA VBhFlPGmez75Mvu+0TJcZg== 0001012807-97-000001.txt : 19970514 0001012807-97-000001.hdr.sgml : 19970514 ACCESSION NUMBER: 0001012807-97-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970408 FILED AS OF DATE: 19970513 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09299 FILM NUMBER: 97601572 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: 4 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 4 1 FORM 4 - 4/8/97 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 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 4/8/97 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 Filing (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 | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |-- |-- |-|-- |-- |-- |400 |I |(1) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-|-- |-- |-- |105 |I |(2) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |4/8/97|A |V|2 |A |45.625 |888 |I |(3) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |12/20/|A |V|2,420 |A |28.97 | | |(4) | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |1/7/97|A |V|49 |A |35.906 | | |(4) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |4/8/97|A |V|51 |A |34.50 |17,652 |I |(4) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price 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 |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Empl. Stock Options (R|31.25 |-- |-- |-|-- -- |A,D| 4/4/|10/9/|Common Stock|5,000 |-- |5,000 |D |-- | ights to Buy) (5) | | | |-| | |96-99|05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|26.50 |-- |-- |-|-- -- |A,D|4/3/9|10/3/|Common Stock|5,000 |-- |5,000 |D |-- | ights to Buy) (5) | | | |-| | |5-98 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|19.63 |-- |-- |-|-- -- |A,D|4/4/9|10/4/|Common Stock|5,000 |-- |5,000 |D |-- | ights to Buy) (5) | | | |-| | |4-97 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|17.25 |-- |-- |-|-- -- |A,D|4/5/9|10/5/|Common Stock|2,500 |-- |2,500 |D |-- | ights to Buy) (5) | | | |-| | |3-96 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|19.25 |-- |-- |-|-- -- |A,D|4/7/9|10/7/|Common Stock|1,650 |-- |1,650 |D |-- | ights to Buy) (5) | | | |-| | |2-95 |01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|14.38 |-- |-- |-|-- -- |A,D|4/1/9|10/1/|Common Stock|2,000 |-- |2,000 |D |-- | ights to Buy) (5) | | | |-| | |1-94 |00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|37.88 |-- |-- |-|-- -- |A,D|4/13/|10/13|Common Stock|6,000 |-- |6,000 |D |-- | ights to Buy) (5) | | | |-| | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Shares held by wife as custodian for three minor children under the UGMA. (2) Held in trust pursuant to the 401K 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 Profit Sharing portion of the ESP. Units acquired under the Plan's automatic dividend reinvestment feature. (4) Held in "rabbi" trust pursuant to the HII Executive Incentive Plan ("EIP"). Acquisition of shares under the plan's annual allocation and automatic dividend reinvestment features. (5) Options granted under the 1988 Incentive Stock Plan and the 1996 Stock Incentive Plan. Options under the plans become exercisable in 25% increments at four 12 month intervals commencing 6 months from the date of grant and expire 10 years after the date of grant. SIGNATURE OF REPORTING PERSON /s/ James C. Benjamin DATE 4/25/97 -----END PRIVACY-ENHANCED MESSAGE-----