Statement of Changes in Beneficial Ownership (4)
November 07 2019 - 11:58AM
Edgar (US Regulatory)
FORM 4
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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
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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
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Fulton Tricia L |
2. Issuer Name and Ticker or Trading Symbol
HELIOS TECHNOLOGIES, INC.
[
HLIO
]
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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) Chief Financial Officer
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(Last)
(First)
(Middle)
1500 WEST UNIVERSITY PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/3/2018
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(Street)
SARASOTA, FL 34243
(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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3/3/2018
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F
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1200 (1)
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D
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$53.03
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58038.1367
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D
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Common Stock
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10/22/2018
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F
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1100 (2)
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D
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$47.14
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56938.1367
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D
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Common Stock
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11/5/2019
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S(3)
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1500
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D
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$45
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55872.36 (4)
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D
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Common Stock
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5665.32
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I (5)
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BY ESOP TRUST
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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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Explanation of Responses:
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(1)
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Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,000 shares of restricted stock granted to the reporting person on March 3, 2017.
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(2)
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Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 3,667 shares of restricted stock granted to the reporting person on October 22, 2015.
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(3)
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Sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 27, 2019.
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(4)
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Includes shares purchased through the Helios Technologies, Inc. Employee Stock Purchase Plan (222.77 during the quarter ended March 30, 2019; 144.30 during the quarter ended June 29, 2019; and 67.15 additional dividend reinvestment shares).
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(5)
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Reflects allocations of shares under the Helios Technologies, Inc. Employee Stock Ownership Plan.
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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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Fulton Tricia L 1500 WEST UNIVERSITY PARKWAY SARASOTA, FL 34243
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Chief Financial Officer
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Signatures
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Gregory C. Yadley, as Attorney-in-Fact for TRICIA L. FULTON
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11/7/2019
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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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