Michael A. O'Neal Form 3 NORTEK / Michael A. O'Neal ownership change

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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1. Name and Address of Reporting Person^*

O'Neal Michael A.

(Last) (First) (Middle)

C/O NORTEK SECURITY AND CONTROL LLC

1950 CAMINO VIDA ROBLE

(Street)

CARLSBAD CA 92008

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
04/28/2015

3. Issuer Name and Ticker or Trading Symbol
NORTEK INC [ NTK ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Group President, Nortek

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common	1,127	D
Common	184(1)	D
Common	362(2)	D
Common	1,739(3)	D
Common	1,104(4)	D
Common	1,084(5)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option - Right to Buy	(6)	02/24/2025	Common	4,258	80.84	D

Explanation of Responses:

1. Unvested restricted stock awarded under the 2009 Omnibus Incentive Plan for which the Reporting Person has dividend and voting rights. Any dividends held by the Company are forfeitable. Time-based restricted stock grant vests in one-third installments. One third vests on each anniversary date of the grant beginning on March 5, 2014.

2. Unvested restricted stock awarded under the 2009 Omnibus Incentive Plan for which the Reporting Person has dividend and voting rights. Any dividends held by the Company are forfeitable. Time-based restricted stock grant vests in one-third installments. One third vests on each anniversary date of the grant beginning on March 5, 2015.

3. Unvested restricted stock awarded under the 2009 Omnibus Incentive Plan for which the Reporting Person has dividend and voting rights. Any dividends held by the Company are forfeitable. Time-based restricted stock grant vests in one-third installments. One third vests on each anniversary date of the grant beginning on February 24, 2016.

4. Performance-based unvested restricted stock awarded under the 2009 Omnibus Incentive Plan for which the Reporting Person has dividend and voting rights. Any dividends held by the Company are forfeitable. Restricted stock grant vests in 2016, subject to the attainment of certain cumulative performance targets. These shares are subject to performance-based vesting conditions and could be subject to forfeiture.

5. Performance-based unvested restricted stock awarded under the 2009 Omnibus Incentive Plan for which the Reporting Person has dividend and voting rights. Any dividends held by the Company are forfeitable. Restricted stock grant vests in 2017, subject to the attainment of certain cumulative performance targets. These shares are subject to performance-based vesting conditions and could be subject to forfeiture.

6. The option grant is exercisable in three equal annual installments. One-third becomes exercisable on each anniversary of the grant date beginning on February 24, 2016.

	Michael A. O'Neal	05/06/2015
	** 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.
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