SEC Info - Tate James H - ‘5’ for 10/31/01 re: Joy Global Inc.

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Tate James H – ‘5’ for 10/31/01 re: Joy Global Inc.

As of: Monday, 12/17/01 · For: 10/31/01 · Accession #: 801898-1-500069 · File #: 1-09299

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/17/01  Tate James H                      5          Director    1:10K  Joy Global Inc.                   Joy Global Inc.

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 5           Annual Statement of Changes in Beneficial              4±    15K 
                Ownership of Securities by an Insider                            

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 U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 5

 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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(f) of the Investment Company Act of 1940

[_]  Check box if no longer  subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).                                   

[_]  Form 3 Holdings Reported                                                   

[_]  Form 4 Transactions Reported                                               

________________________________________________________________________________
1.   Name and Address of Reporting Person*                                      

Tate                                James                  H.                   
--------------------------------------------------------------------------------
(Last)                            (First)              (Middle)           

17605 Lasiandra Drive                                                           
--------------------------------------------------------------------------------
(Street)

Chesterfield                       Missouri                63005                
--------------------------------------------------------------------------------
(City)                            (State)                (Zip)            
________________________________________________________________________________
2.   Issuer Name and Ticker or Trading Symbol                                   

Joy Global Inc. (JOYG)                                                          
________________________________________________________________________________
3.   IRS Identification Number of Reporting Person, if an Entity (Voluntary)    

462-74-6397                                                                     
________________________________________________________________________________
4.   Statement for Month/Year                                                   

October 31, 2001                                                                
________________________________________________________________________________
5.   If Amendment, Date of Original (Month/Year)                                

________________________________________________________________________________
6.   Relationship of Reporting Person to Issuer                                 
(Check all applicable)                                                

[X]  Director                             [_]  10% Owner              
[_]  Officer (give title below)           [_]  Other (specify below)  

________________________________________________________________________________
7.   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 
================================================================================

                                                        [Enlarge/Download Table]

                                                                                                 5.             6.                  
                                                                 4.                              Amount of      Owner-              
                                                                 Securities Acquired (A) or      Securities     ship                
                                                                 Disposed of (D)                 Beneficially   Form:     7.        
                                                                 (Instr. 3, 4 and 5)             Owned at End   Direct    Nature of 
                                      2.            3.           -----------------------------   of Issuer's    (D) or    Indirect  
1.                                    Transaction   Transaction                  (A)             Fiscal Year    Indirect  Beneficial
Title of Security                     Date          Code             Amount      or     Price    (Instr. 3      (I)       Ownership 
(Instr. 3)                            (mm/dd/yy)    (Instr. 8)                   (D)             and 4)         (Instr.4) (Instr. 4)
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*    If the form is filed by more than one  Reporting  Person,  see  Instruction
4(b)(v).                                                              

Reminder:  Report on a separate line for each class of  securities  beneficially
owned directly or indirectly.                                                   

                           (Print or Type Responses)                      (Over)

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FORM 5 (continued)                                                              

Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned  
(e.g., puts, calls, warrants, options, convertible securities)

================================================================================

                                                        [Enlarge/Download Table]

                                                                                                          9.        10.             
                                                                                                          Number    Owner-          
                                                                                                          of        ship            
                    2.                                                                                    Deriv-    of              
                    Conver-                    5.                              7.                         ative     Deriv-   11.    
                    sion                       Number of                       Title and Amount           Secur-    ative    Nature 
                    or                         Derivative    6.                of Underlying     8.       ities     Secur-   of     
                    Exer-                      Securities    Date              Securities        Price    Bene-     ity:     In-    
                    cise     3.                Acquired (A)  Exercisable and   (Instr. 3 and 4)  of       ficially  Direct   direct 
                    Price    Trans-   4.       or Disposed   Expiration Date   ----------------  Deriv-   Owned     (D) or   Bene-  
1.                  of       action   Trans-   of (D)        (Month/Day/Year)            Amount  ative    at End    In-      ficial 
Title of            Deriv-   Date     action   (Instr. 3,    ----------------            or      Secur-   of        direct   Owner- 
Derivative          ative    (Month/  Code     4 and 5)      Date     Expira-            Number  ity      Year      (I)      ship   
Security            Secur-   Day/     (Instr.  ------------  Exer-    tion               of      (Instr.  (Instr.   (Instr.  (Instr.
(Instr. 3)          ity      Year)    8)        (A)   (D)    cisable  Date     Title     Shares  5)       4)        4)       4)     
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                                                                                Common                                              
Stock Option       $13.76    07/16/01   A        10,000     01/16/02  07/16/11  Stock   10,000            10,000     D              
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Explanation of Responses:                                                       

James H. Tate                                                   12/17/01        
---------------------------------------------            -----------------------
**Signature of Reporting Person                             Date    

**   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 provided is insufficient, see Instruction 6 for procedure.

                                                                          Page 2

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Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘5’ Filing	Date	First	Last	Other Filings

Filed on:	12/17/01			5
For Period end:	10/31/01	1		10-K, 4, 5, 8-K, ARS, DEF 14A
				List all Filings

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Filing Submission 0000801898-01-500069 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Tate James H – ‘5’ for 10/31/01 re: Joy Global Inc.

As of: Monday, 12/17/01 · For: 10/31/01 · Accession #: 801898-1-500069 · File #: 1-09299

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34Filing Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34
Filing Table of Contents