SEC Form 4 · accession 0001005229-15-000132
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory P Rustowicz
Officer — VP - Finance and CFO
Period of report
Oct 24, 2015
Accepted (ET)
Oct 27, 2015 · 11:23 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005229
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 24, 2015 | F | 747 | $19.38 | D | 27,155 | D | |
| Common Stock | holding | — | — | — | 27,902 | D | ||
| Common StcokF3 | holding | — | — | — | 243 | D | ||
| Common Stock | holding | — | — | — | 431,381 | I | Additional shares held by ESOP; reporting person is 1 of 3 trustees; DISCLAIMS beneficial ownership. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Options (Right to Buy)F4 | $13.10 | holding | — | — | — | Oct 24, 2014 | Jan 23, 2021 | Common Stock | 6,000 | 6,000 | D |
| Non-Qualified Stock Options (Right to Buy)F5 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 11,942 | 11,942 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 10,181 | 10,181 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stock | 9,330 | 9,330 | D |
| Non-Qualified Stock Options (Right to Buy)F8 | $24.94 | holding | — | — | — | May 18, 2016 | May 17, 2025 | Common Stock | 11,716 | 11,716 | D |
Explanation of responses
- F12,019.5087 restricted stock units became fully vested on October 24, 2015, of which 746 were withheld to satisfy tax withholding obligation, and .5087 was issued in cash of $9.86.
- F2Includes 15,718.0543 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 2,019.5087shares become fully vested and non-forfeitable on 10/24/2016; 2,436.5373 shares become fully vested and non-forfeitable 50% for two years beginning 5/20/2016; 1,503.5244 shares become fully vested and non-forfeitable on 5/21/2016; 2,784.8678 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/19/2016; 4,077.6161 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/18/2016; and the remaining 2,896 shares become fully vested and non-forfeitable on 5/20/2016, if reporting person remains an employee of issuer.
- F3Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- F4Exercisable 33.33% per year for three years beginning 10/24/2014, if reporting person remains an employee of issuer.
- F5Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer.
- F6Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.
- F7Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
- F8Exercisable 25% per year for four years beginning 5/18/2016, if reporting person remains an employee of issuer.