-----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, UL98xBCSSkqPX7peGOm/absGLCbTSxPafRljytxkW3bTFXbyO73pqRa+1mAEBQ4y K5Eekplo5c3RMr7lo4Qc5g== 0000808064-02-000043.txt : 20020425 0000808064-02-000043.hdr.sgml : 20020425 ACCESSION NUMBER: 0000808064-02-000043 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020131 FILED AS OF DATE: 20020318 DATE AS OF CHANGE: 20020326 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: C&D TECHNOLOGIES INC CENTRAL INDEX KEY: 0000808064 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 133314599 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09389 FILM NUMBER: 02578417 BUSINESS ADDRESS: STREET 1: 1400 UNION MEETING ROAD STREET 2: PO BOX 3053 CITY: BLUE BELL STATE: PA ZIP: 19422 BUSINESS PHONE: 2156192700 MAIL ADDRESS: STREET 1: 1400 UNION MEETING ROAD STREET 2: PO BOX 3053 CITY: BLUE BELL STATE: PA ZIP: 19422 COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON JAMES DEAN CENTRAL INDEX KEY: 0001157568 OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 11068 NORTH CLOUD VIEW PLACE CITY: TUCSON STATE: AZ ZIP: 85737 BUSINESS PHONE: 2126192700 MAIL ADDRESS: STREET 1: 11068 NORTH CLOUD VIEW PLACE CITY: TUCSON STATE: AZ ZIP: 85737 5 1 johnson.txt JAMES JOHNSON FORM 5
- - ------ FORM 5 U.S. SECURITIES AND EXCHANGE COMMISSION - - ------ Washington D.C. 20549 [ ] Check this box if ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP no longer Subject to Section 16. Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, [ ] Form 3 Holdings Section 17(a) of the Public Utility Holding Company Act of 1935 or Reported Section 30(f) of the Investment Company Act 1940 [ ] Form 4 Holdings Reported - - -------------------------------------------------------------------------------------------------------------------------------- |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | | Johnson, James D. | C&D TECHNOLOGIES, INC. (CHP) | | |----------------------------------------|---------------------------------------------| ___ Director ___ Owner | | (Last) (First) (MI) |3.IRS or Soc. Sec. No.|4.Statement for Month/| | | | of Reporting Person | Year | _X_ Officer (give ___ Other | | c/o C&D Technologies, Inc. | (Voluntary) | | title below) (Specify below)| | 1400 Uniom Meeting Road | | | Vice President and General Manager | | | | 1/02 | Power Electronics Division | |----------------------------------------| |----------------------|---------------------------------------| | (Street) | |5.If Amendment,Date of|7.Individual or Joint/Group Filing | | | | Original (Month/Year)| (Check Applicable Line) | | | | | | | Blue Bell, PA 19422 | | | _X_ Form filed by One Reporting Person| | | | | | | | | | ___ Form filed by More than One | | | | | Reporting Person | |----------------------------------------|----------------------|----------------------|---------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans. |4.Security Acquired (A) or |5.Amount of |6. |7.Nature of | | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Ownership| Indirect | | | (Mon/Day/Yr)|(Instr. 8)| (Instr. 3, 4 & 5) | Beneficially |Form Dir.| Beneficial | | | | |------------------------------| Owned at End |(D) or | Ownership | | | | | |(A) | | of Issuer's |Ind. (I) | (Instr. 4) | | | | | | | | Fiscal Year | | | | | |Code | Amount |(D) | Price | (Instr. 3&4) | | | |----------------------------|-------------|----------|---------------|----|---------|---------------|---------|---------------| | Common Stock | | | | | | | | | |----------------------------|-------------|----------|---------------|----|---------|---------------|---------|---------------| | Common Stock | 1/2/02 | P | 160 | A | 22.80 | 160 | D | | |----------------------------|-------------|----------|---------------|----|---------|---------------|---------|---------------| | Common Stock | | | | | | | | | |----------------------------|-------------|----------|---------------|----|---------|---------------|---------|---------------| | Common Stock | | | | | | | | | |----------------------------|-------------|----------|---------------|----|---------|---------------|---------|---------------| | Common Stock | | | | | | | | | |----------------------------|-------------|----------|---------------|----|---------|---------------|---------|---------------|
Reminder: Report of a separate line for each class securities owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v) SEC1474(7-96) PAGE: 1 of 2
FORM 5 (continued) TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, covertible security) - - -------------------------------------------------------------------------------------------------------------------------------- |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans|saction | Derivative |Exercisable| or Underlying |Derivative| of |Own.| of | |Security |Exercise |Date |Code | Securities |and | Securities |Security |Derivative|Form| Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or|Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- |Day/ | | Disposed of (D)|Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4&5)|(Mon/Day/ | | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-----------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Year |or | | | | | |---------|-----------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | |Code| V | (A) | (D) |Exbl.|Date | |Shares | | |(I) | | |----------|---------|-----|----|----|--------|--------|-----|-----|----------|----------|----------|----------|----|----------| |Employee | | | | | | | | | | | | | | | |Stock | | | | | | | | | | | | | | | |Option | | | | | | | | | | | | | | | |(right to | |6/26 | | | | | |6/26 |Common | | | | | | |Buy) | 26.76 |/01 | A | V | 420 | | (1) |/11 |Stock | 420 | | 420 | D | | |----------|---------|-----|----|----|--------|--------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |Phantom | | | | | | | | | Common | | | | | | |Stock | 1-for-1 | (2) | A | | 480 | |Immed| (3) | Stock | 480 | (2) | 480 | D | | |----------|---------|-----|----|----|--------|--------|-----|-----|----------|----------|----------|----------|----|----------|
Explanation of Responses: (1) This option vests in three equal annual installments beginning on June 26, 2002. (2) Acquired on various dates between August 1, 2001 and January 31, 2002 pursuant to C&D Technologies deferred compensation plan, at prices ranging from $17.06 to $55.14 per share. (3) Shares of phantom stock are payable following termination of the reporting person's employment with C&D Technologies or retirement. /s/ James D. Johnson 3/12/02 ------------------------------- ---------- **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. PAGE 2 SEC1474 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----