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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
STOCK OPTION - RIGHT TO BUY | $ 13.938 | 09/18/2007 | M(1)(8) | 1,600 | (1)(7) | 02/21/2010 | COMMON STOCK | 1,600 | (7) | 0 | D | ||||
STOCK OPTION - RIGHT TO BUY | $ 7.5 | 09/18/2007 | M(2)(8) | 3,200 | (2)(7) | 08/02/2010 | COMMON STOCK | 3,200 | (7) | 0 | D | ||||
STOCK OPTION - RIGHT TO BUY | $ 16.32 | 09/18/2007 | M(3)(8) | 4,800 | (3) | 10/29/2011 | COMMON STOCK | 4,800 | (3) | 1,200 | D | ||||
STOCK OPTION - RIGHT TO BUY | $ 13.9 | 09/18/2007 | M(4)(8) | 4,800 | (4)(7) | 10/23/2012 | COMMON STOCK | 4,800 | (7) | 1,200 | D | ||||
STOCK OPTION - RIGHT TO BUY | $ 23.8 | 09/18/2007 | M(5)(8) | 1,500 | (5)(7) | 01/06/2014 | COMMON STOCK | 1,500 | (7) | 1,000 | D | ||||
STOCK OPTION - RIGHT TO BUY | $ 24.9 | 09/18/2007 | M(6)(8) | 1,320 | (6)(7) | 02/18/2015 | COMMON STOCK | 1,320 | (7) | 1,980 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLASS ALAN J C/O CIRCOR INTERNATIONAL, INC. 25 CORPORATE DRIVE, STE. 130 BURLINGTON, MA 01803 |
VP,GENERAL COUNSEL & SECRETARY |
Alan J. Glass | 09/20/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The stock options exercised herein reflect the cashless exercise of a portion of the grant of 8,000 options by the issuer to the reporting person on 02/21/2000 and scheduled to expire on 02/21/2010. |
(2) | The stock options exercised herein reflect the cashless exercise of a portion of the grant of 8,000 options by the issuer to the reporting person on 8/2/2000 and scheduled to expire on 8/2/2010. |
(3) | The stock options exercised herein reflect the cashless exercise of a portion of the grant of 6,000 options by the issuer to the reporting person on 10/29/2001 and scheduled to expire on 10/29/2011. These are performance-based stock options which vest 20% per year with the first 20% vesting on 12/05/2003 (the actual trigger date) and the subsequent 20% tranches vesting on 12/05 of each year thereafter through 12/05/2007. These options convert into shares of common stock on a one-for-one basis upon exercise. |
(4) | The stock options exercised herein reflect the cashless exercise of a portion of the grant of 6,000 options by the issuer to the reporting person on 10/23/2002 and scheduled to expire on 10/23/2012. |
(5) | The stock options exercised herein reflect the cashless exercise of a portion of the grant of 2,500 options by the issuer to the reporting person on 01/06/2004 and scheduled to expire on 01/06/2014. |
(6) | The stock options exercised herein reflect the cashless exercise of a portion of the grant of 3,300 options by the issuer to the reporting person on 02/18/2005 and scheduled to expire on 02/18/2015. |
(7) | These options vest 20% per year over a 5-year period from the grant date and convert into shares of common stock on a one-for-one basis upon exercise. |
(8) | The transactions reported herein are pursuant to a pre-programmed plan previously entered into by the reporting person and his broker pursuant to Rule 10b5-1. |