SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF 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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
C/O SPX CORPORATION |
13320-A BALLANTYNE CORPORATE PLACE |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/01/2017
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3. Issuer Name and Ticker or Trading Symbol
SPX CORP
[ SPXC ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
Pres. - SPX Transformer Sol.
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
42,377
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D |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee stock option to purchase common stock |
10/13/2018
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10/13/2025 |
Common Stock |
46,574 |
12.36 |
D |
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Employee stock option to purchase common stock |
03/02/2019
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03/02/2026 |
Common Stock |
22,430 |
12.85 |
D |
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Explanation of Responses: |
Remarks: |
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Stefanie Holland, Attorney in Fact for Brian G. Mason |
01/09/2017 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
LIMITED POWER OF ATTORNEY
The undersigned hereby appoints each of John Nurkin, Stefanie
Holland, Steve Ackermann, Grace Gastelum and Jerri Lynn Jackson,
signing singly, as attorney-in-fact to act for the undersigned
and in the name of the undersigned solely to do all or any of the
following:
1. To execute and file with the Securities and Exchange
Commission all statements regarding the undersigned's beneficial
ownership of securities of SPX Corporation filed pursuant to
Section 16(a) of the Securities Exchange Act of 1934;
2. To execute all necessary instruments to carry out and
perform any of the powers stated above, and to do any other acts
requisite to carrying out such powers.
None of John Nurkin, Stefanie Holland, Steve Ackermann, Grace
Gastelum or Jerri Lynn Jackson shall incur any liability to the
undersigned for acting or refraining from acting under this
power, except for such attorney's own willful misconduct or gross
negligence. The undersigned acknowledges that the foregoing
attorneys-in-fact, in serving in such capacity at the request of
the undersigned, are not assuming, nor is SPX Corporation
assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934.
Any reproduced copy of this signed original shall be deemed to be
an original counterpart of this Power of Attorney.
This Power of Attorney is governed by Delaware law.
This Power of Attorney shall remain in full force and effect
until the undersigned is no longer required to file statements
pursuant to Section 16(a) of the Securities Exchange Act of 1934
with respect to the undersigned's beneficial ownership of
securities of SPX Corporation, unless earlier revoked. This
Power of Attorney shall terminate with respect to the attorney-
in-fact upon receipt by John Nurkin, Stefanie Holland, Steve
Ackermann, Grace Gastelum or Jerri Lynn Jackson, as the case may
be, from the undersigned of a written notice of revocation of
this Power of Attorney. The undersigned shall have the right to
revoke this Power of Attorney at any time.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney this
6th day of December, 2016.
By: __/s/ Brian G. Mason_______
Name: Brian G. Mason