Annual Statement of Changes in Beneficial Ownership (5)
February 14 2020 - 3:47PM
Edgar (US Regulatory)
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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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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
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1.0
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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
*
RALES MITCHELL P | 2. Issuer Name and Ticker or Trading SymbolColfax CORP [CFX] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
11790 GLEN ROAD | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
POTOMAC, MD 20854
(City)
(State)
(Zip)
| 4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock, par value $.001 | 4/19/2019 | | G | 13000 | D | $0.00 | 841750 | I | By the Mitchell P. Rales Family Trust (1) |
Common Stock, par value $.001 | 4/19/2019 | | G | 13000 | A | $0.00 | 14350 | I | By trust for daughter |
Common Stock, par value $.001 | 4/23/2019 | | G | 162486 | D | $0.00 | 679264 | I | By the Mitchell P. Rales Family Trust (1) |
Common Stock, par value $.001 | 7/15/2019 | | G | 50000 | D | $0.00 | 4212869 | D | |
Common Stock, par value $.001 | 7/16/2019 | | G | 100000 | D | $0.00 | 4112869 | D | |
Common Stock, par value $.001 | 7/17/2019 | | G | 50000 | D | $0.00 | 4062869 | D | |
Common Stock, par value $.001 | 7/18/2019 | | G | 100000 | D | $0.00 | 3962869 | D | |
Common Stock, par value $.001 | 7/19/2019 | | G | 150000 | D | $0.00 | 3812869 | D | |
Common Stock, par value $.001 | 7/22/2019 | | G | 100000 | D | $0.00 | 3712869 | D | |
Common Stock, par value $.001 | 7/23/2019 | | G | 20000 | D | $0.00 | 3692869 | D | |
Common Stock, par value $.001 | 7/24/2019 | | G | 20000 | D | $0.00 | 3672869 | D | |
Common Stock, par value $.001 | 7/26/2019 | | G | 20000 | D | $0.00 | 3652869 | D | |
Common Stock, par value $.001 | 7/29/2019 | | G | 20000 | D | $0.00 | 3632869 | D | |
Common Stock, par value $.001 | 7/30/2019 | | G | 20000 | D | $0.00 | 3612869 | D | |
Common Stock, par value $.001 | 7/31/2019 | | G | 20000 | D | $0.00 | 3592869 | D | |
Common Stock, par value $.001 | 8/1/2019 | | G | 20000 | D | $0.00 | 3572869 | D | |
Common Stock, par value $.001 | 8/2/2019 | | G | 20000 | D | $0.00 | 3552869 | D | |
Common Stock, par value $.001 | 8/5/2019 | | G | 20000 | D | $0.00 | 3532869 | D | |
Common Stock, par value $.001 | 8/6/2019 | | G | 70000 | D | $0.00 | 3462869 | D | |
Common Stock, par value $.001 | 8/7/2019 | | G | 50000 | D | $0.00 | 3412869 | D | |
Common Stock, par value $.001 | 8/8/2019 | | G | 100000 | D | $0.00 | 3312869 | D | |
Common Stock, par value $.001 | 8/9/2019 | | G | 150000 | D | $0.00 | 3162869 | D | |
Common Stock, par value $.001 | 8/13/2019 | | G | 31394 | D | $0.00 | 3131475 | D | |
Common Stock, par value $.001 | 9/4/2019 | | G | 17744 | D | $0.00 | 3113731 | D | |
Common Stock, par value $.001 | 9/9/2019 | | G | 1724 | D | $0.00 | 3112007 | D | |
Common Stock, par value $.001 | 10/15/2019 | | G | 40000 | D | $0.00 | 3072007 | D | |
Common Stock, par value $.001 | 10/16/2019 | | G | 40000 | D | $0.00 | 3032007 | D | |
Common Stock, par value $.001 | 10/17/2019 | | G | 85000 | D | $0.00 | 2947007 | D | |
Common Stock, par value $.001 | 10/18/2019 | | G | 235000 | D | $0.00 | 2712007 | D | |
Common Stock, par value $.001 | 10/21/2019 | | G | 20000 | D | $0.00 | 2692007 | D | |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reporting person is a trustee of the Mitchell P. Rales Family Trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RALES MITCHELL P 11790 GLEN ROAD POTOMAC, MD 20854 | X |
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Signatures
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/s/ Mitchell P. Rales | | 2/14/2020 |
**Signature of Reporting Person | Date |
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