-----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, LTmAuNmMrkgTWoQqMb/lwTbl1ZDvRRacnAvNxAIOUxen++GJyzCBGwoICzDUKvHG lAewhln4i1A6BUvFmgG5HQ== 0001012811-98-000005.txt : 19981215 0001012811-98-000005.hdr.sgml : 19981215 ACCESSION NUMBER: 0001012811-98-000005 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981031 FILED AS OF DATE: 19981214 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: 5 SEC ACT: SEC FILE NUMBER: 001-09299 FILM NUMBER: 98769119 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: CORBY FRANCIS M JR CENTRAL INDEX KEY: 0001012811 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 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 5 1 FORM 5 - 10/31/98 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 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). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person CORBY, FRANCIS M., JR. 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 10/31/98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President for Finance and Administration 7. Individual or Joint/Group Reporting (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 | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |-- |-- |-- |-- |-- |5,100 |I |(1) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-- |-- |-- |996 |I |(2) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |7/7/98|A(3)|597 |A |$21.656 |(3) |I |(3) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/6/9|A(3)|1,639 |A |$7.922 |(3) | | | |8 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/14/|F(4)|61,209 |D |$6.50 |0 |I |(4) | |98 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |7/7/98|A(5)|182 |A |$28.875 |(5) | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/6/9|A(5)|498 |A |$10,563 |(5) |I |(5) | |8 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/14/|F(6)|24,721 |D |$6.50 |0 | | | |98 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |7/7/98|A(7)|446 |A |$21.656 |(7) |I |(7) | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/6/9|A(7)|1,225 |A |$7.922 |(7) | | | |8 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/14/|F(8)|45,730 |D |$6.50 |155,197(3)(5)(7) |D | | |98 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice 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 | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Empl. Stock Options (Rig|37.88 |-- |-- |-- -- |A,D|4/13/|10/13|Common Stock|26,000 |-- |26,000 |D |-- | hts to Buy)(9) | | | | | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|31.25 |-- |-- |-- -- |A,D|4/9/9|10/9/|Common Stock|21,000 |-- |21,000 |D |-- | hts to Buy)(9) | | | | | |6-99 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|26.50 |-- |-- |-- -- |A,D|4/3/9|10/3/|Common Stock|15,000 |-- |15,000 |D |-- | hts to Buy)(9) | | | | | |5-98 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|19.63 |-- |-- |-- -- |A,D|4/4/9|10/4/|Common Stock|15,000 |-- |15,000 |D |-- | hts to Buy)(9) | | | | | |4-97 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|17.25 |-- |-- |-- -- |A,D|4/5/9|10/5/|Common Stock|7,500 |-- |7,500 |D |-- | hts to Buy)(9) | | | | | |3-96 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|$6.85 |10/14|A |131,660 -- |A,D|10/14|10/14|Common Stock|131,660|$6.85 |131,660 |D |-- | hts to Buy)(9) | |/98 | | | |/98 |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Held by three sons. (2) Held in trust pursuant to the Harnischfeger Industries, Inc. ("HII") Employee Savings Plan ("ESP") which is a unitized plan in which each participant is allocated a certain number of units representing his proportionate share of the HII stock fund. (3) Shares acquired under the automatic dividend reinvestment feature of the HII Executive Incentive Plan and, following acquisition, held indirectly through a "rabbi trust". On October 14, 1998, shares held in the reporting person's EIP account in such trust were distributed to the reporting person and are reflected in the reporting person's direct end-of-period holdings of Common Stock. (4) Shares withheld from distribution of EIP "rabbi" trust account to satisfy the reporting person's tax liability resulting from such distribution. (5) Shares acquired under the automatic dividend reinvestment feature of the HII Supplemental Retirement and Stock Funding Plan and, following acquisition, held indirectly through a "rabbi" trust. On October 14, 1998, shares held in the reporting person's SRP account in such trust were distributed to the reporting person and are reflected in the reporting person's direct end-of-period holdings of Common Stock. (6) Shares withheld from distribution of SRP "rabbi" trust account to satisfy the reporting person's tax liability resulting from such distribution. (7) Shares acquired under the automatic dividend reinvestment feature of the reporting person's Grant Letter and, following acquisition, held indirectly through a "rabbi" trust. On October 14, 1998, shares held in the reporting person's Grant Letter account in such trust were distributed to the reporting person and are reflected in the reporting person's direct end-of-period holdings of Common Stock. (8) Shares withheld from distribution of Grant Letter "rabbi" trust account to satisfy the reporting person's tax liability resulting from such distribution. (9) Options granted under the HII 1988 Incentive Stock Plan or 1996 Stock Incentive Plan. Options under the plan generally 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; however, options granted on 10/14/98 were exercisable on the date of grant. SIGNATURE OF REPORTING PERSON /s/ Francis M. Corby, Jr. DATE 12/14/98 -----END PRIVACY-ENHANCED MESSAGE-----