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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 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dillon Ricky T C/O ENERPAC TOOL GROUP CORP. N86 W12500 WESTBROOK CROSSING MENOMONEE FALLS, WI 53051 |
Executive Vice President - CFO |
/s/Cory Saeger, Attorney-in-Fact | 11/12/2020 | |
**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 Reporting Person has made a payment of $12.91 to the Issuer as disgorgement of the profit under Section 16(b) of the Securities Exchange Act of 1934, as amended, with respect to the sale of such shares of Class A Common Stock and with respect to the purchase on October 19, 2020 of 36.29 shares of Class A Common Stock at a price per share of $19.77 pursuant to an automatic dividend reinvestment feature of a brokerage account maintained by the Reporting Person, which transaction is the sole non-exempt purchase of shares of Class A Common Stock effected by the Reporting Person within six months before the date of such sale. |
(2) | Represents the best estimate of the number of share equivalents held by the person in the unitized stock fund of the Issuer's 401(k) Plan. The unitized stock fund consists of stock of the Issuer and cash and other short term investments. The number of Issuer share equivalents fluctuates depending on the ratio of the number of shares of stock of the Issuer in the fund to other investments. |