Statement of Changes in Beneficial Ownership (4)
19 January 2018 - 8:42AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Baumgartner Urs
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2. Issuer Name
and
Ticker or Trading Symbol
HARDINGE INC
[
HDNG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Vice President - Grinding
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(Last)
(First)
(Middle)
C/O HARDINGE INC., ONE HARDINGE DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/12/2017
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(Street)
ELMIRA, NY 14903
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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12/12/2017
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M
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2800
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A
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$16.98
(1)
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11262.02
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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$16.98
(3)
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12/12/2017
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M
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2800
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(4)
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(4)
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Common Stock
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2800
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(1)
(4)
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0
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D
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Explanation of Responses:
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(1)
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The reporting person is reporting the disposition of 2,800 restricted stock units awarded December 12, 2013, in exchange for an equal number of restricted shares of Hardinge Inc. common stock.
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(2)
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Includes 5.87 shares acquired during 2017 in exempt transactions under the Hardinge Inc. Dividend Reinvestment Plan.
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(3)
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Each restricted stock unit represents a right to receive one (1) restricted share of Hardinge Inc. common stock. The conversion price is equal to the closing share price of Hardinge Inc. common stock on the transaction date.
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(4)
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The restricted stock units vest and become payable in restricted shares of Hardinge Inc. common stock on the four-year anniversary of the date such units are granted to the reporting person.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Baumgartner Urs
C/O HARDINGE INC.
ONE HARDINGE DRIVE
ELMIRA, NY 14903
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Vice President - Grinding
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Signatures
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John R. Alexander, as Attorney-in-Fact, pursuant to a Power of Attorney dated July 1, 2016
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1/18/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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