Amended Statement of Beneficial Ownership (3/a)
06 Juillet 2021 - 10:36PM
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
*
Morgan Jason Lemar |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/4/2021
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3. Issuer Name and Ticker or Trading Symbol
HELIOS TECHNOLOGIES, INC. [HLIO]
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(Last)
(First)
(Middle)
7456 SIXTEENTH STREET EAST |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) President, CVT / |
(Street)
SARASOTA, FL 34243
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 6/10/2021
| 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) |
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 (1) | (2) | (2) | Common Stock | 324 | $0.00 (2) | D | |
Performance-Based Restricted Stock Units | (3) | (3) | Common Stock | 971 | $0.00 (3) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 696 | $0.00 (4) | D | |
Performance-Based Restricted Stock Units | (5) | (5) | Common Stock | 1043 | $0.00 (5) | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 713 | $0.00 (6) | D | |
Restricted Stock Units | (7) | (7) | Common Stock | 1126 | $0.00 (7) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 754 | $0.00 (8) | D | |
Performance-Based Restricted Stock Units | (9) | (9) | Common Stock | 754 | $0.00 (9) | D | |
Explanation of Responses: |
(1) | The Form 3 is being amended to include the holdings not included on the reporting person's original filing. |
(2) | Restricted stock units granted to reporting person on February 22, 2019; 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) | Performance-Based Restricted stock units granted to reporting person on February 22, 2019; representing the right to receive, following vesting, shares of Common Stock. The number of shares acquired upon vesting is contingent upon achievement of pre-established performance metrics and will vest at the end of 2021 fiscal year. |
(4) | Restricted stock units granted to reporting person on February 28, 2020; 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. |
(5) | Performance-Based Restricted stock units granted to reporting person on February 28, 2020; representing the right to receive, following vesting, shares of Common Stock. The number of shares acquired upon vesting is contingent upon achievement of pre-established performance metrics and will vest at the end of 2022 fiscal year. |
(6) | Restricted stock units granted to reporting person on July 1, 2020; unless earlier forfeited under the terms of the RSU, 100% of the awards vest and convert into Common Stock on the first anniversary of the grant date. |
(7) | Restricted stock units granted to reporting person on January 1, 2021; unless earlier forfeited under the terms of the RSU, 100% of the awards vest and convert into Common Stock on the first anniversary of the grant date. |
(8) | 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. |
(9) | Performance-Based Restricted stock units granted to reporting person on January 28, 2021; representing the right to receive, following vesting, shares of Common Stock. The number of shares acquired upon vesting is contingent upon achievement of pre-established performance metrics and will vest at the end of 2023 fiscal year. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Morgan Jason Lemar 7456 SIXTEENTH STREET EAST SARASOTA, FL 34243 |
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| President, CVT |
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Signatures
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/s/ Melanie M. Nealis, Attorney-in-Fact for Jason L. Morgan | | 7/6/2021 |
**Signature of Reporting Person | Date |
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