SEC Form 4 · accession 0001005229-17-000056
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy T Tevens
Officer — President & CEO · Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 4:08 pm EST
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 StockF2 | Feb 28, 2017 | F | 22,318 | $0.00 | D | 293,536 | D | |
| Common StockF1 | holding | — | — | — | 315,854 | D | ||
| Common StcokF3 | holding | — | — | — | 6,223 | D | ||
| Common Stock | holding | — | — | — | 7,000 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Options (Right to Buy)F4 | $28.45 | holding | — | — | — | May 19, 2009 | May 18, 2018 | Common Stock | 8,770 | 8,770 | D |
| Non-Qualified Stock Options (Right to Buy)F4 | $13.27 | holding | — | — | — | May 18, 2010 | May 17, 2019 | Common Stock | 45,172 | 45,172 | D |
| Non-Qualified Stock Options (Right to Buy)F4 | $18.24 | holding | — | — | — | May 17, 2011 | May 16, 2020 | Common Stock | 33,190 | 33,190 | D |
| Non-Qualified Stock Options (Right to Buy)F4 | $19.50 | holding | — | — | — | May 23, 2011 | May 22, 2021 | Common Stock | 31,902 | 31,902 | D |
| Non-Qualified Stock Options (Right to Buy)F4,F5 | $13.43 | holding | — | — | — | May 21, 2013 | Feb 28, 2022 | Common Stock | 53,568 | 53,568 | D |
| Non-Qualified Stock Options (Right to Buy)F7,F6 | $18.95 | holding | — | — | — | May 20, 2014 | Feb 28, 2022 | Common Stock | 44,689 | 44,689 | D |
| Non-Qualified Stock Options (Right to Buy)F9,F8 | $27.12 | holding | — | — | — | May 19, 2015 | Feb 28, 2022 | Common Stcok | 38,938 | 38,938 | D |
| Non-Qualified Stock Options (Right to Buy)F11,F10 | $24.94 | holding | — | — | — | May 16, 2016 | Feb 28, 2022 | Common Stock | 48,847 | 48,847 | D |
| Non-Qualified Stock Options (Right to Buy)F13,F12 | $15.16 | holding | — | — | — | May 23, 2017 | Feb 28, 2022 | Common Stock | 86,551 | 86,551 | D |
Explanation of responses
- F1The previously reported total of 315,853.9546 was adjusted by .0054. The new total of 315,853.96 includes 54,022.96 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 5,417.2580 shares become fully vested and non-forfeitable on 5/20/2017; 7,847.5790 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/19/2017; 12,919.1746 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/18/2017; and the remaining 27,838.9484 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/23/2017, if reporting person remains an employee of issuer.
- F10Previously reported as 05/17/2025 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022.
- F11Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/18/2016.
- F12Previously reported as 05/22/2026 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022.
- F13Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/23/2017.
- F254,022.96 restricted stock units became fully vested on reporting persons retirement on February 28, 2017, of which 22,311.00 shares were withheld to satisfy tax withholding obligations and 6.96 shares were issued in cash of $180.20.
- F3Represents shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- F4Fully exercisable, subject to IRS limitations.
- F5Previously reported as 05/20/2022 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022.
- F6Previously reported as 05/20/2023 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022.
- F7Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/20/2014.
- F8Previously reported as 05/19/2024 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022.
- F9Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/19/2015.