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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance-Based Restricted Stock Units | (1) | 02/25/2022 | M | 7,742 | (1) | (1) | Common Stock | 7,742 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 02/28/2022 | M | 1,080 | (6) | (6) | Common Stock | 1,080 | $ 0 | 1,080 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fulton Tricia L 7456 SIXTEENTH STREET EAST SARASOTA, FL 34243 |
Chief Financial Officer |
/s/ Marc Greenberg, Attorney-in-Fact for Tricia L. Fulton | 03/01/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Acquired performance-based restricted stock units granted to the Reporting Person on February 22, 2019, as determined by the performance period beginning on the first day of the Company's fiscal year ending December 28, 2019 and ending on the last day of the Company's fiscal year ending January 1, 2022, following subsequent financial approval on February 25, 2022 of the payout percentage for the grant based on performance criteria. The payout percentage for the grant based on performance goals was 150%. |
(2) | No shares were sold - these shares were withheld by the issuer to satisfy tax withholding requirements in connection with the vesting of restricted stock units. Withholding of shares to cover taxes on the vesting was calculated pursuant to performance criteria for period ending on the last day of January 1, 2022. |
(3) | No shares were sold - these shares were withheld by the issuer to satisfy tax withholding requirements in connection with the vesting of restricted stock units. |
(4) | Reflects the current allocation of shares under the Helios Technologies Inc. 401(k) Retirement Plan. |
(5) | Each RSU represents the right to receive, following vesting, one share of Common Stock. |
(6) | Unless earlier forfeited under the terms of the RSU, 33-1/3% of the awards vest and convert into Common Stock on each anniversary of the grant date. |