Initial Statement of Beneficial Ownership (3)
January 14 2022 - 5:02PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Greenberg Marc A |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/4/2022
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3. Issuer Name and Ticker or Trading Symbol
HELIOS TECHNOLOGIES, INC. [HLIO]
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(Last)
(First)
(Middle)
C/O HELIOS TECHNOLOGIES, INC., 7456 16TH ST E |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) General Counsel and Secretary / |
(Street)
SARASOTA, FL 34243
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 258.93 (1) | D | |
Common Stock | 54.543 | I | by 401(k) Plan Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | (2) | Common Stock | 545 | $0.00 (3) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 250 | $0.00 (3) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 988 | $0.00 (3) | D | |
Explanation of Responses: |
(1) | Shares purchased through the Helios Technologies, Inc. Employee Stock Purchase Plan |
(2) | Restricted stock units granted to reporting person on January 28, 2021; unless earlier forfeited under the terms of the RSU, 33-1/3% of the awards vest and convert into Common Stock on each of the first three anniversaries of the grant date. |
(3) | Each RSU represents the right to receive, following vesting, one share of Common Stock. |
(4) | Restricted stock units granted to reporting person on December 8, 2021; unless earlier forfeited under the terms of the RSU, 100% of the award vests and converts into Common Stock on March 9, 2022. |
(5) | Restricted stock units granted to reporting person on January 3, 2022; unless earlier forfeited under the terms of the RSU, 33-1/3% of the awards vest and convert into Common Stock on each of the first three anniversaries of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Greenberg Marc A C/O HELIOS TECHNOLOGIES, INC. 7456 16TH ST E SARASOTA, FL 34243 |
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| General Counsel and Secretary |
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Signatures
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/s/ Carter Lang, Attorney-in-Fact for Marc A. Greenberg | | 1/14/2022 |
**Signature of Reporting Person | Date |
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