SEC Form 4 · accession 0001005229-17-000284
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt F Wozniak
Officer — VP - Americas
Period of report
Aug 15, 2017
Accepted (ET)
Aug 17, 2017 · 11:36 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 Stock | Aug 15, 2017 | M | 3,335 | $13.43 | A | 28,761 | D | |
| Common Stock | Aug 15, 2017 | S | 3,335 | $31.77 | D | 25,426 | D | |
| Common Stock | Aug 15, 2017 | M | 356 | $28.45 | A | 25,782 | D | |
| Common Stock | Aug 15, 2017 | S | 356 | $31.77 | D | 25,426 | D | |
| Common Stock | Aug 15, 2017 | M | 1,777 | $18.24 | A | 27,203 | D | |
| Common Stock | Aug 15, 2017 | S | 1,777 | $31.77 | D | 25,426 | D | |
| Common Stock | Aug 15, 2017 | M | 1,809 | $19.50 | A | 27,235 | D | |
| Common Stock | Aug 15, 2017 | S | 1,809 | $31.77 | D | 25,426 | D | |
| Common Stock | Aug 15, 2017 | M | 6,788 | $18.95 | A | 32,214 | D | |
| Common Stock | Aug 15, 2017 | S | 224 | $31.77 | D | 31,990 | D | |
| Common StockF1 | Aug 15, 2017 | S | 5,704 | $31.46 | D | 26,286 | D | |
| Common Stock | holding | — | — | — | 25,426 | D |
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) | $13.43 | Aug 15, 2017 | M | 3,335 | D | May 21, 2013 | May 20, 2022 | Common Stock | 3,335 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $28.45 | Aug 15, 2017 | M | 356 | D | May 19, 2011 | May 18, 2018 | Common Stock | 356 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $18.24 | Aug 15, 2017 | M | 1,777 | D | May 17, 2011 | May 16, 2020 | Common Stock | 1,777 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $19.50 | Aug 15, 2017 | M | 1,809 | D | May 23, 2012 | May 22, 2021 | Common Stock | 1,809 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $18.95 | Aug 15, 2017 | M | 6,788 | D | May 20, 2014 | May 20, 2023 | Common Stock | 6,788 | 0 | D |
Explanation of responses
- F1Includes 10,464.8861 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 753.9775 shares become fully vested and non-forfeitable on 5/19/2018; 1,766.3104 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/18/2018; 4,338.5982 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/23/2018; and the remaining 3,606 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/22/2018, if reporting person remains an employee of issuer.