Annual Statement of Changes in Beneficial Ownership (5)
14 Février 2020 - 10:35PM
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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3235-0362
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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 | 10/22/2019 | | G | 230000 | D | $0.00 | 2462007 | D | |
Common Stock, par value $.001 | 10/23/2019 | | G | 100000 | D | $0.00 | 2362007 | D | |
Common Stock, par value $.001 | 10/24/2019 | | G | 10000 | D | $0.00 | 2352007 | D | |
Common Stock, par value $.001 | 10/25/2019 | | G | 140000 | D | $0.00 | 2212007 | D | |
Common Stock, par value $.001 | 10/28/2019 | | G | 50000 | D | $0.00 | 2162007 | D | |
Common Stock, par value $.001 | 10/29/2019 | | G | 75000 | D | $0.00 | 2087007 | D | |
Common Stock, par value $.001 | 10/31/2019 | | G | 75000 | D | $0.00 | 2012007 | D | |
Common Stock, par value $.001 | 11/15/2019 | | G | 1500 | D | $0.00 | 2010507 | D | |
Common Stock, par value $.001 | | | | | | | 6000000 | I | By single member LLCs (1) |
Common Stock, par value $.001 | | | | | | | 19388 | I | By Capital Yield Corporation (2) |
Common Stock, par value $.001 | | | | | | | 11500 | I | By trust for daughter |
Common Stock, par value $.001 | | | | | | | 2850 | I | By trust for daughter |
Common Stock, par value $.001 | | | | | | | 28000 | I | By spouse (3) |
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 reported shares are held through single-member LLCs, of which a revocable trust with the Reporting Person as the sole trustee and beneficiary is the sole member of these LLCs. |
(2) | These shares were held by an entity of which Mitchell P. Rales and Steven M. Rales were the sole stockholders. The reporting person disclaimed beneficial ownership of these securities to the extent that they were beneficially owned by Steven M. Rales. |
(3) | The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Neither this filing nor anything contained herein shall be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 13 of the Securities Exchange Act of 1934 or otherwise. |
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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