Initial Statement of Beneficial Ownership (3)
07 Dezember 2018 - 8:37PM
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
Estimated average burden
hours per response...
0.5
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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
*
Christy Jody M
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/4/2018
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3. Issuer Name
and
Ticker or Trading Symbol
TORO CO [TTC]
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(Last)
(First)
(Middle)
8111 LYNDALE AVENUE SOUTH
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Vice President, BOSS /
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(Street)
BLOOMINGTON, MN 55420-1196
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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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
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2512.722
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D
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Common Stock
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205.476
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I
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The Toro Company Investment, Savings and ESOP
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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 Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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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 of Derivative Security: 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
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option
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(1)
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1/5/2025
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Common Stock
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544
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$31.09
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D
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Non-Qualified Stock Option
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(2)
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12/4/2025
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Common Stock
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1088
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$38.82
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D
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Non-Qualified Stock Option
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(3)
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12/4/2025
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Common Stock
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1630
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$38.82
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D
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Non-Qualified Stock Option
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(4)
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12/9/2026
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Common Stock
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4900
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$56.54
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D
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Non-Qualified Stock Option
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(5)
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12/8/2027
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Common Stock
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4100
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$65.93
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D
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Restricted Stock Units
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(6)
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(6)
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Common Stock
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176.646
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(7)
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D
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Restricted Stock Units
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(8)
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(8)
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Common Stock
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60.267
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(7)
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D
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Restricted Stock Units
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(9)
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(9)
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Common Stock
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1237.309
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(7)
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D
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Explanation of Responses:
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(1)
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The option vested in three equal annual installments commencing on January 5, 2016, which was the first anniversary of the date of grant.
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(2)
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The option vested in three equal annual installments commencing on December 4, 2016, which was the first anniversary of the date of grant.
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(3)
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The option vested in full on December 4, 2018, which was the third anniversary of the date of grant.
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(4)
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The option vests in three equal annual installments commencing on December 9, 2017, which is the first anniversary of the date of grant.
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(5)
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The option vests in three equal annual installments commencing on December 8, 2018, which is the first anniversary of the date of grant.
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(6)
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The restricted stock units and related dividend equivalents vested and became non-forfeitable in full on December 4, 2018, which was the third anniversary of the date of grant.
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(7)
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Each restricted stock unit represents a contingent right to receive one share of Toro common stock.
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(8)
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The restricted stock units and related dividend equivalents vested and became non-forfeitable in three equal annual installments commencing on December 4, 2016, which was the first anniversary of the date of grant.
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(9)
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The restricted stock units and related dividend equivalents vest and become non-forfeitable in full on June 15, 2019, which is the third anniversary of the date of grant.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Christy Jody M
8111 LYNDALE AVENUE SOUTH
BLOOMINGTON, MN 55420-1196
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Vice President, BOSS
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Signatures
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/s/ Nancy A. McGrath, Attorney-In-Fact
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12/7/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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