-----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, MmTLtSNGKSoERYZ+2wYTagsykgSZ2YuzVkvhn6gHyOrZVdDwxyZJgF8iIYW2rQgm iU0CS6qEy7MooF3HVXHxSQ== 0001012807-98-000001.txt : 19980525 0001012807-98-000001.hdr.sgml : 19980525 ACCESSION NUMBER: 0001012807-98-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980407 FILED AS OF DATE: 19980522 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: SEC FILE NUMBER: 001-09299 FILM NUMBER: 98630076 BUSINESS ADDRESS: STREET 1: 3600 SOUTH LAKE DRIVE CITY: ST FRANCIS STATE: WI ZIP: 53235-3716 BUSINESS PHONE: 4144866400 MAIL ADDRESS: STREET 1: 3600 SOUTH LAKE DRIVE CITY: ST FRANCIS STATE: WI ZIP: 53235 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 - 4/7/98 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 4 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). 1. Name and Address of Reporting Person BENJAMIN, JAMES C. 3600 South 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 4/7/98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President/Controller
___________________________________________________________________________________________________________________________________ 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 Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |-- |-- |-|-- |-- |-- |400 |I |(1) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-|-- |-- |-- |1,000 |I |(2) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |12/26/|A |V|2,066 |A |31.336 | | | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |1/6/98|A |V|70 |A |28.172 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |4/7/98|A |V|82 |A |24.047 |19,980 |I |(3) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Empl. Stock Options (R|31.25 |-- |-- |-|-- -- |A,D| 4/4/|10/9/|Common Stock|5,000 |-- |5,000 |D |-- | ights to Buy) (4) | | | |-| | |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) (4) | | | |-| | |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) (4) | | | |-| | |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) (4) | | | |-| | |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) (4) | | | |-| | |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) (4) | | | |-| | |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) (4) | | | |-| | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Shares held by wife as custodian for three minor children under the UGMA. (2) Held in trust under 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 "rabbi" trust pursuant to the HII Executive Incentive Plan ("EIP"). Acquisition of shares under the plan's annual allocation and automatic dividend reinvestment features. (4) 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 5/21/98 -----END PRIVACY-ENHANCED MESSAGE-----