| Accession Number: | 0001127602-19-035088 |
| Date: | 2019-12-13 |
| Issuer: | SNAP-ON INC (SNA) |
| Original Submission Date: |
PAGLIARI ALDO JOHN
SNAP-ON INCORPORATED
2801 80TH STREET
KENOSHA, WI 53143
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2019-12-13 | M | 2,237 | a | $41.01 | 49,831 | direct | ||
| COMMON STOCK | 2019-12-13 | S | 2,237 | d | $171.25 | 47,594 | direct | ||
| COMMON STOCK | 2019-12-16 | M | 4,243 | a | $41.01 | 51,837 | direct | ||
| COMMON STOCK | 2019-12-16 | S | 4,143 | d | $171.30 | 47,694 | direct | ||
| COMMON STOCK | 2019-12-16 | S | 100 | d | $172.04 | 47,594 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY) | 41.01 | 2019-12-13 | deemed execution date | M | 2,237 (d) | 2020-02-10 | common stock 2,237 | $41.01 | 4,243 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 41.01 | 2019-12-16 | deemed execution date | M | 4,243 (d) | 2020-02-10 | common stock 4,243 | $41.01 | 0 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 58.94 | 2019-12-13 | deemed execution date | 0 ( ) | 2021-02-09 | common stock 20,000 | $58.94 | 20,000 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 60.0 | 2019-12-13 | deemed execution date | 0 ( ) | 2022-02-08 | common stock 27,000 | $60.00 | 27,000 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 79.04 | 2019-12-13 | deemed execution date | 0 ( ) | 2023-02-13 | common stock 30,000 | $79.04 | 30,000 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 109.43 | 2019-12-13 | deemed execution date | 0 ( ) | 2024-02-13 | common stock 33,000 | $109.43 | 33,000 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 144.69 | 2019-12-13 | deemed execution date | 0 ( ) | 2025-02-12 | common stock 34,000 | $144.69 | 34,000 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 138.03 | 2019-12-13 | deemed execution date | 0 ( ) | 2026-02-11 | common stock 35,000 | $138.03 | 35,000 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 168.7 | 2019-12-13 | deemed execution date | 0 ( ) | 2018-02-09 | 2027-02-09 | common stock 36,000 | $168.70 | 36,000 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 161.18 | 2019-12-13 | deemed execution date | 0 ( ) | 2019-02-15 | 2028-02-15 | common stock 26,052 | $161.18 | 26,052 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 155.92 | 2019-12-13 | deemed execution date | 0 ( ) | 2020-02-14 | 2029-02-14 | common stock 23,500 | $155.92 | 23,500 | direct | ||
| RESTRICTED STOCK UNITS | 0.0 | 2019-12-13 | deemed execution date | 0 ( ) | common stock 985 | $0.00 | 985 | direct | ||||
| RESTRICTED STOCK UNITS | 0.0 | 2019-12-13 | deemed execution date | 0 ( ) | common stock 2,362 | $0.00 | 2,362 | direct | ||||
| RESTRICTED STOCK UNITS | 0.0 | 2019-12-13 | deemed execution date | 0 ( ) | common stock 2,991 | $0.00 | 2,991 | direct | ||||
| PERFORMANCE UNITS | 0.0 | 2019-12-13 | deemed execution date | 0 ( ) | common stock 2,612 | $0.00 | 2,612 | direct | ||||
| PERFORMANCE UNITS | 0.0 | 2019-12-13 | deemed execution date | 0 ( ) | common stock 3,024 | $0.00 | 3,024 | direct | ||||
| PERFORMANCE UNITS | 0.0 | 2019-12-13 | deemed execution date | 0 ( ) | common stock 2,992 | $0.00 | 2,992 | direct |
| ID | footnote |
|---|---|
| f1 | the option was exercised and the underlying shares were sold pursuant to a rule 10b5-1 plan. |
| f2 | includes 55.8802 shares acquired under a dividend reinvestment plan. |
| f3 | this transaction was executed in multiple trades at prices ranging from $171.09 to $171.53. the price reported above reflects the weighted average sale price. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effectuated. |
| f4 | this transaction was executed in multiple trades at prices ranging from $171.00 to $171.97. the price reported above reflects the weighted average sale price. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effectuated. |
| f5 | option fully vested. |
| f6 | exercise of rule 16b-3 stock option pursuant to a rule 10b5-1 plan. |
| f7 | original stock option grant vests in three annual installments beginning on the date listed in the "date exercisable" column. |
| f8 | 1 for 1. |
| f9 | the restricted stock units were earned based on company performance during fiscal 2017. assuming continued employment through the end of fiscal 2019, the units will then vest in one installment and the shares will be issued shortly thereafter. |
| f10 | the restricted stock units were earned based on company performance during fiscal 2018. assuming continued employment through the end of fiscal 2020, the units will then vest in one installment and the shares will be issued shortly thereafter. |
| f11 | the restricted stock units may be earned based on the achievement of certain company goals during fiscal 2019. assuming continued employment through the end of fiscal 2021, any units earned will then vest in one installment and the shares will be issued shortly thereafter. the target number of units that may be earned is reported above; the maximum number is 200% of the number reported, subject to plan limits. |
| f12 | if the company achieves certain goals over the 2017-2019 period, the performance units will vest and stock will be awarded. the target number of units that may be earned is reported above; the maximum amount is 200% of the number reported, subject to plan limits. |
| f13 | if the company achieves certain goals over the 2018-2020 period, the performance units will vest and stock will be awarded. the target number of units that may be earned is reported above; the maximum amount is 200% of the number reported, subject to plan limits. |
| f14 | if the company achieves certain goals over the 2019-2021 period, the performance units will vest and stock will be awarded. the target number of units that may be earned is reported above; the maximum amount is 200% of the number reported, subject to plan limits. |
