UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | (2) | (2) | Common Stock | 545 | $ 0 (3) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 250 | $ 0 (3) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 988 | $ 0 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Greenberg Marc A C/O HELIOS TECHNOLOGIES, INC. 7456 16TH ST E SARASOTA, FL 34243 |
General Counsel and Secretary |
/s/ Carter Lang, Attorney-in-Fact for Marc A. Greenberg | 01/14/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares purchased through the Helios Technologies, Inc. Employee Stock Purchase Plan |
(2) | Restricted stock units granted to reporting person on January 28, 2021; unless earlier forfeited under the terms of the RSU, 33-1/3% of the awards vest and convert into Common Stock on each of the first three anniversaries of the grant date. |
(3) | Each RSU represents the right to receive, following vesting, one share of Common Stock. |
(4) | Restricted stock units granted to reporting person on December 8, 2021; unless earlier forfeited under the terms of the RSU, 100% of the award vests and converts into Common Stock on March 9, 2022. |
(5) | Restricted stock units granted to reporting person on January 3, 2022; unless earlier forfeited under the terms of the RSU, 33-1/3% of the awards vest and convert into Common Stock on each of the first three anniversaries of the grant date. |