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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | |
MACINNIS FRANK T 301 MERRITT SEVEN NORWALK, CT 06851 |
X |
Frank T. MacInnis | 02/12/2013 | |
**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) | On December 31, 2012 the reporting person transferred 26,434 shares of the common stock of EMCOR Group, Inc. ("EMCOR") to the Frank T. MacInnis 2012 GST Family Trust (the "Trust") for the benefit of the children and other descendants of the reporting person. |
(2) | On January 22, 2013 the reporting person transferred 197,254 shares of common stock of EMCOR Group, Inc. to the Trust in exchange for that part of the trust corpus that consisted of securities other than shares of EMCOR common stock and which trust corpus was equal in value to the 197,254 shares of EMCOR common stock, all as permitted by the terms of the Trust. Inasmuch as the reporting person's spouse is trustee of the Trust and his immediate family members are beneficiaries of the Trust, the transferred shares are reported as indirectly held by the reporting person. The reporting person disclaims beneficial ownership of the transferred shares, and the filing of this report is not an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
(3) | Includes shares issuable in respect of restricted stock units. |