-----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, BiqnB79llA09XA089KjK9G+DGRRwhbSqiCF5i2xW3m72oYU8sjWVcWcT1PBYdX9C uScfsyGsjRgQQKn/v872Ow== 0001044311-98-000001.txt : 19980519 0001044311-98-000001.hdr.sgml : 19980519 ACCESSION NUMBER: 0001044311-98-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980407 FILED AS OF DATE: 19980518 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: SEC FILE NUMBER: 001-09299 FILM NUMBER: 98627416 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: HALE ROBERT W CENTRAL INDEX KEY: 0001044311 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 554 CITY: MILWAUKEE STATE: WI ZIP: 53201-0554 BUSINESS PHONE: 4144866567 MAIL ADDRESS: STREET 1: PO BOX 554 CITY: MILWAUKEE STATE: WI ZIP: 53201-0554 4 1 FORM 4 - 4/7/98 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 4 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). 1. Name and Address of Reporting Person HALE, ROBERT W. HARNISCHFEGER INDUSTRIES, INC. 3600 SOUTH LAKE DRIVE ST. FRANCIS, WI 53235 MILWAUKEE 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 4/7/98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) SENIOR VICE PRESIDENT
___________________________________________________________________________________________________________________________________ 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 Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |-- |-- |-|-- |-- |-- |784 |I |(1) | | | |-| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |12/26/|A |V|4,108 |A |$31.336 | | | | |98 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |1/6/98|A |V|69 |A |28.172 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |4/7/98|A |V|82 |A |24.047 |19,714 |I |(2) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Options|$17.25 |10/5/|-- |-|-- -- |A,D|4/5/9|10/5/|Common Stock|1,000 |$17.25 |1,000 |D |-- | (Rights to Buy)(3) | |92 | |-| | |3-96 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options|$19.63 |10/4/|-- |-|-- -- |A,D|4/4/9|10/4/|Common Stock|3,000 |$19.63 |3,000 |D |-- | (Rights to Buy)(3) | |93 | |-| | |4-97 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options|$25.00 |11/17|-- |-|-- -- |A,D|5/17/|11/17|Common Stock|5,000 |$25.00 |5,000 |D |-- | (Rights to Buy)(3) | |/94 | |-| | |95-98|/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options|$31.25 |10/9/|-- |-|-- -- |A,D|4/9/9|10/09|Common Stock|5,000 |$31.25 |5,000 |D |-- | (Rights to Buy)(3) | |95 | |-| | |6-99 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options|$37.88 |10/13|-- |-|-- -- |A,D|4/13/|10/13|Common Stock|7,000 |$37.88 |7,000 |D |-- | (Rights to Buy)(3) | |/96 | |-| | |97-00|/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Held in trust pursuant to the Harnischfeger Industries, Inc. ("HII") Employees Savings Plan. (2) Held in "rabbi" trust pursuant to the HII Executive Incentive Plan. Allocation of shares under the plan's annual allocation and automatic dividend reinvestment features. (3) Options granted under the HII 1988 Incentive Stock Plan or the HII 1996 Stock Incentive Plan. Options granted under the plans 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/ Robert W. Hale DATE 5/15/98 -----END PRIVACY-ENHANCED MESSAGE-----