-----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, CyfQP73qoKpClugg8oZS/i3GbLI5D+xbpg6J2dV73+e9BklPtEmp2oRd12dUz0fq 3yZLteuC46AOihTH4x6iTw== 0001012835-97-000002.txt : 19971210 0001012835-97-000002.hdr.sgml : 19971210 ACCESSION NUMBER: 0001012835-97-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971031 FILED AS OF DATE: 19971209 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: 5 SEC ACT: SEC FILE NUMBER: 001-09299 FILM NUMBER: 97734447 BUSINESS ADDRESS: STREET 1: 13400 BISHOPS LN CITY: BROOKFIELD STATE: WI ZIP: 53005 BUSINESS PHONE: 4146714400 MAIL ADDRESS: STREET 1: P.O. BOX 554 CITY: MILWAUKEE STATE: WI ZIP: 53201-0554 COMPANY DATA: COMPANY CONFORMED NAME: HANSON JOHN N CENTRAL INDEX KEY: 0001012835 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OFFICER 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 - 10/31/97 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 (X) Form 4 Transactions Reported 1. Name and Address of Reporting Person HANSON, JOHN N. 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 10/31/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President and Chief Operating Officer 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 |-- |-- |-- |-- |-- |125,520 |D |-- | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |7/8/97|A |44(1) |A |32.25 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/7/9|A |45(1) |A |32.063 |14,131 |I |(1) | |7 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |7/8/97|A |3(2) |A |43.00 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |10/7/9|A |3(2) |A |42.75 |1,452 |I |(2) | |7 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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|31,000 |-- |31,000 |D |-- | hts to Buy)(3) | | | | | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|31.25 |-- |-- |-- -- |A,D|4/9/9|10/9/|Common Stock|26,000 |-- |26,000 |D |-- | hts to Buy)(3) | | | | | |6-99 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (Rig|15.92 |-- |-- |-- -- |A,D|11/29|2/19/|Common Stock|6,191 |-- |6,191 |D |-- | hts to Buy)(4) | | | | | |/94 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Held in "rabbi" trust pursuant to the Harnischfeger Industries, Inc. ("HII") Executive Incentive Plan ("EIP"). Acquisition of shares under the Plan's automatic dividend reinvestment feature. (2) Held in "rabbi" trust pursuant to the HII Supplemental Retirement and Stock Funding Plan ("SRP"). Acquisition of shares under the Plan's automatic dividend reivestment features. (3) Options granted under the HII 1988 Incentive Stock Plan or the HII 1996 Stock Incentive Plan. Options under the plan 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. (4) Options granted under the Joy Technologies Inc. ("Joy") 1991 Stock Option and Equity Incentive Plan. These options were converted to options for HII Common Stock under the Agreement and Plan of Merger entered into between HII and Joy dated November 29, 1994. SIGNATURE OF REPORTING PERSON /s/ John N. Hanson DATE 12/4/97 -----END PRIVACY-ENHANCED MESSAGE-----