-----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, F0J1CCg//oaWLQNchvyxnRA5bSd+QdzUzeveNfcLJC+AddcoiK3zRqutOshBpnSo g9bx6QLc9O7AHi7Xv8VZtQ== 0001012844-97-000001.txt : 19970113 0001012844-97-000001.hdr.sgml : 19970113 ACCESSION NUMBER: 0001012844-97-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970110 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09299 FILM NUMBER: 97504102 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: LUNDGREN K THOR CENTRAL INDEX KEY: 0001012844 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 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 4 1 FORM 4 - DECEMBER, 1996 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person LUNDGREN, K. THOR 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 DECEMBER, 1996 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 for Law and Government Affairs 7. Individual or Joint/Group Filing (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 | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |12/26/|M | |10,000 |A |$17.25 | | | | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |12/26/|S | |10,000 |D |$47.125 | | | | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-|-- |-- |-- |76,057 |D(1) |-- | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-|-- |-- |-- |147 |I |(2) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |-- |-- |-|-- |-- |-- |6,514 |I |(3) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |12/16/|A |V|14,355 |A |$28.97 |63,032 |I |(4) | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price 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 |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Empl. Stock Options (R|31.25 |-- |-- |-|-- -- |A,D|4/9/9|10/9/|Common Stock|21,000 |-- |21,000 |D |-- | ights to Buy) (5) | | | |-| | |6-99 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|26.50 |-- |-- |-|-- -- |A,D|4/3/9|10/3/|Common Stock|15,000 |-- |15,000 |D |-- | ights to Buy) (5) | | | |-| | |5-98 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|19.63 |-- |-- |-|-- -- |A,D|4/4/9|10/4/|Common Stock|15,000 |-- |15,000 |D |-- | ights to Buy) (5) | | | |-| | |4-97 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|17.25 |12/26|M |-|-- 10,000 |A,D|4/5/9|10/5/|Common Stock|10,000 |-- |5,000 |D |-- | ights to Buy) (5) | |/96 | |-| | |3-96 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Empl. Stock Options (R|37.88 |-- |-- |-|-- -- |A,D|4/13/|10/13|Common Stock|26,000 |-- |26,000 |D |-- | ights to Buy)(5) | | | |-| | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Of the shares directly owned, 74, 057 represent restricted stock" under the Harnischfeger Industries, Inc. ("HII") 1988 Incentive Stock Plan ("1988 Plan). (2) Held in trust pursuant to the HII Employees' Savings Plan. (3) Held in "rabbi" trust pursuant to the HII Supplemental Retirement and Stock Funding Plan. (4) Held in "rabbi trust" pursuant to the HII Executive Incentive Plan. Acquisition of shares under the Plan's annual allocation feature. (5) Options granted under the 1988 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. SIGNATURE OF REPORTING PERSON /s/ K. Thor Lundgren DATE 1/9/97 -----END PRIVACY-ENHANCED MESSAGE-----