-----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, HIISwHYENBaeJGz1+eOfAKrj6UpIScJIHL812Yr2ELNq8k1pLAZPiqvAwfuDs/eN xmWNVffqfrDJQDMQ1GDs2Q== 0000801898-07-000315.txt : 20071221 0000801898-07-000315.hdr.sgml : 20071221 20071221172639 ACCESSION NUMBER: 0000801898-07-000315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071219 FILED AS OF DATE: 20071221 DATE AS OF CHANGE: 20071221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SUTHERLIN MICHAEL W CENTRAL INDEX KEY: 0001215342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09299 FILM NUMBER: 071324243 MAIL ADDRESS: STREET 1: 100 E WISCONSIN AVE STREET 2: STE 2780 CITY: MILWAUKEE STATE: WI ZIP: 53202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JOY GLOBAL 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: 1028 BUSINESS ADDRESS: STREET 1: 100 EAST WISCONSIN AVE SUITE 2780 CITY: MILWAUKEE STATE: WI ZIP: 53201-0554 BUSINESS PHONE: 4144866400 MAIL ADDRESS: STREET 1: 100 EAST WISCONSIN AVE SUITE 2780 CITY: MILWAUKEE STATE: WI ZIP: 53201-0554 FORMER COMPANY: FORMER CONFORMED NAME: HARNISCHFEGER INDUSTRIES INC DATE OF NAME CHANGE: 19920703 4 1 sutherlin_ex.xml X0202 4 2007-12-19 0 0000801898 JOY GLOBAL INC JOYG 0001215342 SUTHERLIN MICHAEL W 100 E WISCONSIN AVE STE 2780 MILWAUKEE WI 53202 1 1 0 0 CEO and President Common Stock 2007-12-19 4 A 0 2000 A 88096 D Common Stock 2007-12-19 4 A 0 138 A 88234 D Deferred Stock Units 2007-12-19 4 A 0 9475 A Common Stock 9475 109700 D Deferred Stock Units 2007-12-19 4 A 0 278 0 A Common Stock 278 109978 D Acquired upon vesting of an equal number of performance shares that were not derivative securities. The number of shares acquired represents additional restricted stock units resulting from the payment on December 19, 2007 of a cash dividend of $0.15 per share of common stock based on $59.27, the average of the daily high and low trading prices of the issuer's common stock on the dividend payment date. These deferred stock units were acquired, on a one-for-one basis, upon the automatic deferral of receipt of the payout of 9,475 performance shares (that were not derivative securities) under the terms of the reporting person's performance share agreement, as amended, and will be settled in shares of common stock or cash, or a combination of the two, at the discretion of the issuer's compensation committee when the reporting person ceases to be a covered employee as defined in Section 162(m)(3) of the Internal Revenue These deferred stock units will be settled in shares of common stock on a one-for-one basis (or wholly or partly in cash, at the discretion of the issuer's compensation committee) when the reporting person ceases to be a covered employee as defined in Section 162(m)(3) of the Internal Revenue Code, or to the extent that total taxable income from salary and other non-performance based sources (combined with the value of any shares and cash distributed under These deferred stock units will be settled in shares of common stock on a one-for-one basis (or wholly or partly in cash, at the discretion of the issuer's compensation committee) when the reporting person ceases to be a covered employee as defined in Section 162(m)(3) of the Internal Revenue Code, or to the extent that total taxable income from salary and other non-performance based sources (combined with the value of any shares and cash distributed under the issuer's performance share award program) is less than $1 million for a given fiscal year. The deferred stock units are also payable upon a change in control. The number of securities acquired represents additional deferred stock units resulting from the payment on December 19, 2007 of a cash dividend of $0.15 per share of common stock based on $59.27, the average of the daily high and low trading prices of the issuer's common stock on the dividend payment date. Michael W. Sutherlin 2007-12-21 -----END PRIVACY-ENHANCED MESSAGE-----